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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$13,547,438,962115
UBS$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
Integral Financial, LLC   2021 SEC $85,000
Coburn & Meredith, Inc   2021 SEC $299,340
Canton Hathaway LLC   2021 SEC $25,000
Carmel Capital Management LLC   2021 SEC $25,000
Castle Wealth Planning LLC   2021 SEC $25,000
Cohen Klingenstein LLC   2021 SEC $97,523
Dynamic Trading Management LLC   2021 SEC $10,000
Eastside Financial Advisors LLC   2021 SEC $10,000
Embree Financial Group Inc.   2021 SEC $97,523
Harold Davidson & Associates Inc.   2021 SEC $25,000
John A. Bysko Associates   2021 SEC $25,000
Madden Funds Management Ltd.   2021 SEC $25,000
Medallion Wealth Advisors LLC   2021 SEC $25,000
Mighty Oak Strong America Investment Company   2021 SEC $25,000
Minot DeBlois Advisors LLC   2021 SEC $97,523
O'Brien Greene & Co. Inc.   2021 SEC $25,000
Paratus Financial Inc.   2021 SEC $97,523
Quantitative Asset Management LLC   2021 SEC $25,000
Sauberan & Company LLC   2021 SEC $10,000
Summit Financial Advisors Inc.   2021 SEC $25,000
The Cavanaugh Group Inc.   2021 SEC $50,000
Westbourne Investments Inc.   2021 SEC $25,000
Bill Parker Agency   2021 SEC $10,000
Birkelbach & Co.   2021 SEC $10,000
Capital Portfolio Management Inc.   2021 SEC $25,000
Greentree Investment Services Inc.   2021 SEC $10,000
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
Tradier Brokerage Inc.   2021 SEC $50,000
First Capital Real Estate Investments, LLC   2021 SEC $3,876,400
UBS Financial Services Inc. UBS financial services 2021 SEC $8,112,174
Cascade Investment Group, Inc   2021 SEC $125,000
Blotics Ltd   2021 SEC $201,687
Momentus Inc.   2021 SEC $7,000,000
Stable Road Acquisition Company   2021 SEC $1,000,000
Kestra Private Wealth Services, LLC   2021 SEC $299,569
Kestra Advisory Services, LLC   2021 SEC $10,003,172
Hilltop Securities Inc. Hilltop Holdings financial services 2021 SEC $340,193
PLS, CPA   2021 SEC $73,028
St. Germain Investment Management, Inc.   2021 SEC $1,925,250
Parallax Health Sciences Inc.   2021 SEC $100,000
Westport Capital Markets, LLC   2021 SEC $1,320,761
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $1,750,000
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research   2021 SEC $83,582
Neovest Inc.   2021 SEC $2,750,000
Crown Capital Securities, L.P.   2021 SEC $1,587,912
Gateway One Lending & Finance, LLC   2021 SEC $6,513,192
Guggenheim Securities, LLC   2021 SEC $208,912
Loci Inc.   2021 SEC $7,600,000
Intervest International, Inc.   2021 SEC $205,277
Feltl Advisors, LLC   2021 SEC $333,971
Verus Capital Partners, LLC   2021 SEC $45,000
E&H Investment Services, LLC   2021 SC-INS $20,975
Trinity Asset Partners, LLC   2021 SC-INS $11,200
GSE Properties, LLC and 544 South Joint Venture   2021 SC-INS $30,000
GPB Capital Holdings, LLC et al.   2021 SC-INS $10,200,000
Fx Trader Stock   2021 SC-INS $200,000
Legacy Wealth Advisors, Inc.   2021 TX-SEC $15,000
Paul Winkler, Inc.   2021 TX-SEC $5,000
Pioneer Square Advisors, LLC   2021 WA-SEC $25,000
Sommers Financial Management, LLC   2021 WA-SEC $30,000
Capital Management Associates LLC   2021 WA-SEC $5,000
Guardian Data Systems, LLC   2021 WA-SEC $9,500
Tryp Technologies Inc.   2021 WA-SEC $34,000
Resolute Capital Partners, Ltd. et al.   2021 WA-SEC $263,525
NVSG702, LLC and NVSG702, LLC and Silverstate702, LLC   2021 AZ-CC $559,699
AE Wealth Management, LLC   2021 AZ-CC $1,309,400
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2021 AR-SEC $50,000
Black Hill Capital Partners Inc.   2021 CA-DFPI $50,000
Denari Capital, LLC   2021 CFTC $3,663,282
Digital Platinum Limited   2021 CFTC $6,000,000
United States Commodity Funds LLC   2021 CFTC $2,500,000
Tether Holdings Limited et al.   2021 CFTC $41,000,000
Bitfinex   2021 CFTC $1,500,000
UBS AG UBS financial services 2021 CFTC $500,000
Lighthouse Futures, Ltd.   2021 CFTC $370,000
ICE Clear Europe Limited   2021 CFTC $450,000
Cargill Inc. Cargill agribusiness 2021 CFTC $750,000
Societe Generale S.A. Societe Generale financial services 2021 CFTC $1,500,000
Symphony Communication Services, LLC   2021 CFTC $100,000
Payward Ventures, Inc. d/b/a Kraken   2021 CFTC $1,250,000
Interactive Brokers LLC Interactive Brokers Group financial services 2021 CFTC $84,320,000
KatchPips FX LLC   2021 CFTC $374,480
Refinitiv US SEF LLC   2021 CFTC $650,000
Mizuho Capital Markets LLC Mizuho Financial financial services 2021 CFTC $1,500,000
Citibank, N.A. Citigroup financial services 2021 CFTC $1,000,000
Commonwealth Equity Services, LLC dba Commonwealth Financial Network   2021 CT-BKG $20,000
Aegis Capital Corp.   2021 FINRA $2,800,000
Fame Route, LLC   2021 KY-FIN $40,000
G.D. III, Inc.   2021 MD-SEC $589,434
Uphold HQ Inc.   2021 MN-FIN $10,270
Moody Reid Financial   2021 MO-SEC $40,000
Skytec Security Services, LLC and Skytec Service KC, LLC   2021 MO-SEC $2,151,130
Fresh Start Credit Services, LLC   2021 MO-SEC $93,945
LaTour Asset Management, LLC   2021 MO-SEC $15,000
Cryotherm USA, Inc.   2021 MO-SEC $75,000
Perfectly Posh, LLC   2021 MT-SEC $5,000
Norwex USA, Inc.   2021 MT-SEC $5,000
Williams Wealth Management, LLC   2021 NH-BSR $5,000
TFS Securities, Inc.   2021 NJ-BOS $75,000
Volumetric Funds, Inc.   2021 NJ-BOS $9,850
GTV Media Group, Inc. and Saraca Media Group, Inc.   2021 NY-AG $479,900,000
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.