Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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$13,547,438,962115
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
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
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 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
Enviso Capital LLC   2017 SEC $50,000
Ascenergy LLC   2017 SEC $6,859,690
W Resources LLC   2017 CFTC $150,000
Copersucar Trading A.V.V.   2017 CFTC $300,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
7S Oil & Gas, LLC   2017 SEC $750,000
Petroforce Energy, LLC   2017 SEC $300,000
INTL FCStone Financial Inc. StoneX Group financial services 2017 CFTC $280,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
Cargill Inc. Cargill agribusiness 2017 CFTC $10,000,000
Arab Global Commodities DMCC   2017 CFTC $300,000
Logista Advisors LLC   2017 CFTC $250,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Tillage Commodities, LLC   2017 CFTC $150,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
Green Tree Investment Group   2017 SEC $770,356
Millennium Management LLC   2017 SEC $630,000
Augustine Capital Management LLC   2017 SEC $878,305
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Mintco LLC   2017 CFTC $250,000
FTS Financial, Inc.   2017 CFTC $4,800,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC   2017 SEC $100,937
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Horter Investment Management, LLC   2017 SEC $778,804
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Institutional Investor Advisers, Inc.   2017 SEC $200,000
Brahman Capital Corp.   2017 SEC $250,000
Gray Financial Group, Inc.   2017 SEC $401,298
Millennium Management LLC   2017 SEC $638,709
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
Canterbury Consulting, Inc.   2017 SEC $172,986
Loop Capital Markets, LLC   2017 SEC $25,000
Success Holding Group International, Inc.   2017 SEC $139,737
SIX Financial Information USA Inc.   2017 SEC $107,707
LBMZ Securities, Inc.   2017 SEC $240,000
VisionPoint Advisory Group, LLC   2017 SEC $45,000
360 Financial, Inc.   2017 SEC $40,000
TRH Financial LLC   2017 SEC $35,000
Sagent Wealth Management, LLC   2017 SEC $181,110
Platinum Equity Advisors, LLC Platinum Equity private equity (including portfolio companies) 2017 SEC $3,402,132
Howarth Financial Services, LLC   2017 SEC $203,444
JL Capital Management   2017 SEC $278,289
Potomac Asset Management Company, Inc   2017 SEC $300,000
Envoy Advisory, Inc.   2017 SEC $51,892
Municipal Finance Services, Inc.   2017 SEC $50,000
O'Connor & Company Securities, Inc.   2017 SEC $150,000
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
Institutional Investors Advisory Company   2017 SEC $843,187
Capital Dynamics, Inc.   2017 SEC $275,000
Coachman Energy Partners LLC   2017 SEC $941,507
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
Columbia River Advisors, LLC   2017 SEC $80,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $200,000
Bradway Financial, LLC and Bradway Capital Management, LLC   2017 SEC $150,000
Umbrella Research, LLC   2017 SEC $16,676
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SEC $552,086
Paramount Group Real Estate Advisor LLC   2017 SEC $250,000
Landwin Management, LLC   2017 SEC $75,000
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.