Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
Citigroup$8,176,245,73063
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
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
Interactive Brokers LLC Interactive Brokers Group financial services 2017 FINRA $450,000
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Goldman Sachs & Co. Goldman Sachs financial services 2016 SEC $15,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Luca International Group, LLC   2016 SEC $68,300,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
Merrill Lynch Bank of America financial services 2016 SEC $10,000,000
Merrill Lynch Bank of America financial services 2016 SEC $415,000,000
Ethiopian Electric Power   2016 SEC $6,448,854
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
First Mortgage Corporation   2016 SEC $12,700,000
Navistar International Corp. Navistar motor vehicles 2016 SEC $7,500,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Uni-Pixel Inc.   2016 SEC $750,000
Westlands Water District   2016 SEC $125,000
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
ValueAct   2016 DOJ_ANTITRUST $11,000,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Atlantas Group, Inc.   2016 CFTC $7,200,000
Agrocorp International Pte Ltd.   2016 CFTC $150,000
Golden Agri International Pte Ltd.   2016 CFTC $150,000
Tech Power Inc.   2016 CFTC $250,000
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
DG Wealth Management   2016 CFTC $17,499,623
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc.   2016 CFTC $2,451,568
BFXNA Inc. d/b/a Bitfinex   2016 CFTC $75,000
Cypress Wealth Management, Inc.   2016 CFTC $430,764
Cunningham Commodities, LLC   2016 CFTC $150,000
Galileo Trading LLC   2016 CFTC $1,608,640
Badge Trading LLC   2016 CFTC $280,000
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Equinox Fund Management LLC   2016 CFTC $5,654,004
IBFX Inc.   2016 CFTC $1,000,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
4X Solutions Inc.   2016 CFTC $10,980,904
Worth Group Inc.   2016 CFTC $2,500,000
Otkritie Capital International, Ltd.   2016 CFTC $140,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group financial services 2016 CFTC $490,246,741
Health Net Inc. Centene healthcare services 2016 SEC $340,000
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
International Monetary Metals, Inc.   2016 CFTC $9,800,000
Cindium Inc. and Einstein Exchange Group Inc.   2016 CFTC $601,000
My Global Leverage, LLC   2016 CFTC $1,465,528
JSC VTB Bank   2016 CFTC $5,000,000
Advantage Futures LLC   2016 CFTC $1,500,000
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
Angus Partners LLC   2016 CFTC $250,000
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
IB Capital FX, LLC   2016 CFTC $35,420,000
Caledonia Investments plc   2016 FTC $480,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Robert W. Baird & Co.   2016 SEC $250,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Forcerank LLC   2016 SEC $50,000
Artis Capital Management   2016 SEC $8,878,015
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
EZTD Inc.   2016 SEC $1,700,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
Equidate Inc.   2016 SEC $80,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Interinvest Corporation   2016 SEC $6,900,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
Empire Stock Transfer, Inc.   2016 SEC $154,239
M2 Law Professional Corp.   2016 SEC $154,267
TPG Advisors LLC   2016 SEC $328,437
New Silk Route Advisors, L.P.   2016 SEC $275,000
Grassi & Co., CPAs and P.C.   2016 SEC $401,510
PMB Helin Donovan, LLP   2016 SEC $160,000
OTC Global Partners, LLC   2016 SEC $87,499
Henning-Carey Proprietary Trading, LLC   2016 SEC $110,000
Hope Capital, Inc.   2016 SEC $579,747
Dupree Financial Group, LLC   2016 SEC $25,000
Elray Resources, Inc.   2016 SEC $50,000
Moloney Securities Co., Inc.   2016 SEC $41,500
Altair Nanotechnologies, Inc.   2016 SEC $250,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
Connexus Corporation   2016 SEC $50,000
Aviva Investors Americas, LLC   2016 SEC $250,000
Wilmington Savings Fund Society, FSB   2016 SEC $375,000
Nu Skin Enterprises, Inc. Nu Skin Enterprises household and personal care products 2016 SEC $765,688
3C Advisors & Associates, Inc.   2016 SEC $7,500
First Reserve Management, L.P.   2016 SEC $3,500,000
Orinda Asset Management, LLC   2016 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.