Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$88,756,002,782
Number of Penalty Records: 
6,714
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$13,529,353,962112
UBS$11,680,437,33364
Citigroup$8,177,245,73064
Allianz$6,523,100,0007
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


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
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
Rossshire Development LLC and Greenstone Ventures LLC and Modern South Development LLC   2021 NC-SEC $1,771,382
Tannin Capital, LLC   2021 NC-SEC $45,000
Legacy Advisory Group, Inc. and LWM Income Fund, LLC and LWM Equity Fund, L.P.   2021 PA-BKG $150,000
PTK Financial, LLC and Capricorn Income Fund I, LLC   2021 PA-BKG $125,000
Mitchell Retirement Group, LLC   2021 PA-BKG $15,000
Ascension Investment Advisors   2021 PA-BKG $10,000
4Rivers Wealth Management, LLC   2021 PA-BKG $5,000
Wedbush Securities Inc. Wedbush Securities financial services 2021 SEC $1,207,000
WEX Inc. WEX Inc. financial services 2021 SEC $350,000
Newman Ladd Capital Advisors, LLC   2021 SEC $25,000
American Renal Associates Holdings, Inc.   2021 SEC $2,000,000
Andiamo Corporation   2021 SEC $150,000
Sperry and Sons Capital Investments, LLC   2021 SEC $284,480
Upright Financial Corp.   2021 SEC $517,209
MIO Partners Inc.   2021 SEC $18,000,000
United States Oil Fund LP and United States Commodity Funds LLC   2021 SEC $1,250,000
Fixed Income Clearing Corporation   2021 SEC $8,000,000
Lexion Capital Management LP   2021 SEC $10,000
Akazoo S.A.   2021 SEC $38,800,000
Disciplined Capital Management LLC   2021 SEC $25,000
VTB Capital plc   2021 SEC $6,429,883
Amyris, Inc. Amyris pharmaceuticals 2021 SEC $300,000
LPL Financial LLC LPL Financial financial services 2021 SEC $891,202
Redwood Wealth Management, LLC   2021 SEC $50,000
Tradition Securities and Derivatives, LLC   2021 SEC $1,787,459
Cowen Prime Advisors LLC   2021 SEC $768,879
Resolute Capital Partners LTD LLC and Homebound Resources LLC   2021 SEC $450,000
Revere Securities, LLC   2021 SEC $50,000
Coda Markets, Inc.   2021 SEC $1,200,000
Basic Wealth Advisors, Inc.   2021 SC-SEC $5,000
Freedom Capital Advisors, LLC   2021 SC-SEC $20,000
HBS Properties, LLC   2021 TN-SEC $225,000
U.S. Data Mining Group, Inc.   2021 VA-SEC $6,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2021 VA-SEC $10,000
NMJ Group   2021 WA-SEC $65,000
New Vision Properties, LLC   2021 WA-SEC $12,500
Charles Winn, LLC   2021 WA-SEC $45,000
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2021 CFTC $75,000,000
J.P. Morgan Securities LLC  JPMorgan Chase financial services 2021 SEC $125,000,000
Performance Realty Management, LLC   2021 AZ-CC $2,309,101
Performance Realty Management, LLC and t American Realty Partners, LLC   2021 AZ-CC $11,670,327
Corix Bioscience Inc.   2021 AZ-CC $3,235,192
Biomed Pharma Group, Inc.   2021 AZ-CC $273,630
Aralia Securities, Ltd. And Vintage Bullion DMC   2021 CFTC $100,000
Easterday Ranches, Inc.   2021 CFTC $263,008,042
Lifestyle Freedom Advisory Group, LLC   2021 CT-SEC $7,650
LPL Financial LLC LPL Financial financial services 2021 CT-SEC $500,000
Endeavor Global Partners Corp. and Endeavor Global Partners (HK) Ltd.   2021 CT-SEC $500,000
Equity Advisors of KY Inc.   2021 KY-FIN $10,000
NYPPEX, LLC   2021 MD-SEC $5,000
Plug N Go Electrix, LLC   2021 MD-SEC $75,000
MintBuilder.com LLC   2021 MT-SEC $20,000
Bio-Sunn Technologies, Inc.   2021 ND-SEC $90,000
Equity Fund International, Inc.   2021 ND-SEC $90,000
RagingBull.com, LLC   2021 NH-BSR $675,000
Lasting Connections, LLC et al.   2021 OR-FIN $5,000
The Insight Advisory Group, LLC dba Insight Total Stewardship   2021 PA-BKG $10,000
PeachCap Tax & Advisory, LLC   2021 SEC $138,813
Nikola Corporation Nikola Corporation motor vehicles 2021 SEC $125,000,000
1st Global Advisors, Inc.   2021 SEC $16,873,153
Global Infrastructure Management, LLC   2021 SEC $4,500,000
Freedom Capital Advisors Inc.   2021 WA-SEC $13,000
24XploitTrade   2021 WA-SEC $21,000
Debtix Enterprise Ltd. dba Coinchainbtc.com   2021 WA-SEC $11,000
Kaboom USA, LLC and SKEARCH, LLC   2021 WI-FIN $5,000
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Mirae Asset Daewoo Co., Ltd.   2020 CFTC $700,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Enigma MPC   2020 SEC $500,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
Sica Wealth Management, LLC   2020 SEC $378,693
Fortress Investment Management, LLC   2020 SEC $104,097
Lone Star Value Management LLC   2020 SEC $100,000
BPU Investment Management, Inc.   2020 SEC $927,107
Cannell Capital, LLC   2020 SEC $150,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Gain Capital UK Limited   2020 CFTC $491,671
FuturesFX   2020 CFTC $1,750,000
Amada Capital Management LLC   2020 CFTC $596,700
Argo Group International Holdings, Ltd.   2020 SEC $900,000
TSP Capital Management Group, LLC   2020 SEC $60,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
1Globe Capital, LLC   2020 SEC $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
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.