Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
Note: 
The totals here are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Mirakill Brands, LLC   2018 NJ-BOS $100,000
Financial Planning Advisors, LLC   2018 NJ-BOS $500,000
Wilshire-Pennington Group Inc.   2018 OK-SEC $25,000
Becker, Jackson & Reed LLC   2018 OR-FIN $60,000
Wellington Sports Club LLC et al.   2018 OR-FIN $35,000
Wesleyan Investment Foundation Inc.   2018 PA-BKG $50,000
Harris Financial Management   2018 PA-BKG $100,000
Spectrum Wealth Management LLC   2018 PA-BKG $25,000
PMN Inc. dba Portfolio Management Network Inc.   2018 PA-BKG $10,000
Kairos Capital Advisors LLC   2018 PA-BKG $10,000
Malaguti Wealth Management LLC   2018 PA-BKG $25,000
Roche Asset Management LLC   2018 PA-BKG $30,000
IFS Securities Inc.   2018 PA-BKG $15,000
Apollo18 LLC   2018 PA-BKG $5,000
Complete Business Solutions Group Inc. dba Par Funding   2018 PA-BKG $499,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2018 RI-FIN $175,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
PowerOne Corporation   2018 SC-SEC $10,000
Mackrow Asset Management Group   2018 SC-SEC $5,500
Wesleyan Investment Foundation Inc.   2018 SD-INS $10,000
Clem Investments   2018 SD-INS $5,000
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
Sunlight Investments   2018 TX-SEC $15,000
Trade-PMR Inc.   2018 TX-SEC $25,000
Brazos Securities Inc.   2018 TX-SEC $20,000
CRITTER CONTROL INC.   2018 VA-SEC $23,500
BLOOP FROZEN YOGURT, LLC   2018 VA-SEC $45,000
COMMUNICLIQUE, INC.   2018 VA-SEC $10,980,923
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
LINCOLN FINANCIAL SECURITIES Lincoln National financial services 2018 VA-SEC $20,000
LARADA SCIENCES, INC.   2018 VA-SEC $15,500
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
WINGS TO GO, INC.   2018 VA-SEC $7,500
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
RESULTS AUCTION, LLC   2018 VA-SEC $79,255
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2018 VT-FIN $120,000
D.A. Davidson and Co.   2018 VT-FIN $60,000
Stock Investment Management Inc.   2018 VT-FIN $15,000
Capital Energy Group LLC   2018 WA-FIN $31,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
Pacific Watercraft Group, Inc.   2018 WA-FIN $5,500
Brisk Management, LLC   2018 WA-FIN $11,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc.   2018 WA-FIN $250,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Larada Sciences, LLC   2018 WA-FIN $9,725
RealizedEquityServices LLC   2018 WA-FIN $32,500
VI Capital Management, LLC   2018 WA-FIN $12,500
Masters United 12 LLC et al.   2018 WA-FIN $5,000
Legacy Prosperity Partners, LLC   2018 WI-FIN $24,196
MFB Investments, LLC   2018 WI-FIN $211,539
LPL Financial LLC LPL Financial financial services 2018 MULTI-FIN $26,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
Adams Capital Management   2017 SEC $45,000
Aisling Capital   2017 SEC $70,456
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Alta Communications   2017 SEC $35,000
Commonwealth Venture Management Corporation   2017 SEC $75,000
Cypress Advisors   2017 SEC $35,000
FFL Partners   2017 SEC $75,000
Lime Rock Management   2017 SEC $75,000
NGN Capital   2017 SEC $100,000
Pershing Square Capital Management   2017 SEC $75,000
The Banc Funds Company   2017 SEC $75,000
Citadel Securities LLC   2017 SEC $22,600,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
ITG   2017 SEC $24,400,000
Port Authority of New York and New Jersey   2017 SEC $400,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Vision Financial Partners, LLC   2017 CFTC $6,527,130
Oden Capital Management, LLC   2017 CFTC $100,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
AMG Energy, LLC and R. Thomas?& Co., LLC   2017 SEC $150,000
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Sidoti & Company LLC   2017 SEC $100,000
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Hold Brothers Online Investment Services, LLC   2017 SEC $707,764
TeamVinh.com LLC   2017 SEC $2,681,072
Guardian Asset Group, LLC   2017 CFTC $1,086,033
MakeYourFuture, LLC   2017 CFTC $1,207,294
Momentum Investment Partners LLC dba Avatar Investment Management   2017 SEC $193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation   2017 SEC $50,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Verto Capital Management   2017 SEC $4,158,517
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC   2017 CFTC $493,141
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Rosenthal Collins Capital Markets, LLC   2017 CFTC $5,000,000
Marbury Advisors Inc.   2017 CFTC $4,441,652
Huafu HK Co. Ltd.   2017 CFTC $225,000
Wall Street Pirate Management, LLC   2017 CFTC $125,000
McVean Trading & Investments, LLC   2017 CFTC $1,500,000
North American Asset Management, LLC   2017 CFTC $1,626,189
K.B. Concepts Group, LLC   2017 CFTC $607,955
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.