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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
Blue Gold co LC   2020 WA-SEC $11,250
Unikrn Inc.   2020 WA-SEC $310,000
Signal Capital Management LLC   2020 WA-SEC $5,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Performance Arbitrage Company, Inc. et al.   2020 AZ-SEC $653,191
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C.   2020 AZ-SEC $60,000
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
Priority Wealth Advisors, Inc.   2020 CA-DFPI $10,000
Doctors Associates LLC dba Subway   2020 CA-DFPI $410,000
Neighborhood Networks Publishing, Inc.   2020 CA-DFPI $10,000
Southwest Services, L.L.C.   2020 CFTC $740,968
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
Financial Vision Advisory Services, LLC   2020 CT-BKG $5,375
American Alternative Investments, LLC   2020 ID-SEC $5,250
Tactical Wealth Management LLC   2020 KY-FIN $5,000
Biogenic, Inc.   2020 MI-SEC $20,000
Capsource, Inc.   2020 MI-SEC $110,000
Black Box Fund   2020 MI-SEC $20,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Environ-Chem Inc.   2020 MN-FIN $5,067
Beacon Capital Distributors, Inc.   2020 MO-SEC $6,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 NH-BSR $26,250,000
Cantone Research, Inc.   2020 NJ-BOS $10,000
First Standard Financial Company, LLC   2020 NJ-BOS $75,000
Practical Wealth Advisors, LLC   2020 PA-BKG $25,000
Secure Money Advisors   2020 PA-BKG $200,000
Gordon Fed Financial   2020 PA-BKG $6,000
Gerring Capital Partners, LLC   2020 PA-BKG $40,000
OTR, Inc.   2020 SEC $10,000
Genesis E&P, Inc.   2020 SEC $192,768
Tierion, Inc.   2020 SEC $250,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
First Midstate Inc.   2020 SEC $175,000
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
Virtu ITG Canada Corp.   2020 SEC $200,000
Cormark Securities Inc.   2020 SEC $800,000
ShipChain, Inc.   2020 SEC $2,050,000
India Globalization Capital, Inc.   2020 SEC $175,000
Robinhood Financial LLC   2020 SEC $65,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Belden Inc. Belden industrial equipment 2020 SEC $650,000
ICE Data Pricing & Reference Data LLC   2020 SEC $8,000,000
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Applied BioSciences Corp.   2020 SEC $25,000
Bancwest Investment Services, Inc.   2020 SEC $406,432
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
S.G. Long & Company   2020 TX-SEC $15,000
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
American Equities, Inc.   2020 WA-SEC $115,000
SB Financial Group   2020 WI-FIN $25,000
UAB Mid West Group   2020 WI-FIN $250,000
Geaux Global   2020 WI-FIN $155,000
CTOption   2020 WI-FIN $24,000
Worden Capital Management LLC   2020 FINRA $1,550,000
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2020 FINRA $2,075,000
SG Americas Securities, LLC Societe Generale financial services 2020 FINRA $1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 FINRA $7,200,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2020 FINRA $3,650,000
Insurance Trends, Inc.   2020 CT-SEC $100,000
Financial Vision Advisory Services, LLC   2020 CT-SEC $5,375
The Hansbury Group, LLC   2020 CT-SEC $5,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-SEC $250,000
Quint Wealth Management, Inc.   2020 CT-SEC $5,000
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Solace Investments, LLC   2020 CT-SEC $300,000
Wilmington Capital Securities, LLC   2020 CT-SEC $11,275
1pool Ltd.   2019 CFTC $421,000
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
The Tulving Company, Inc.   2019 CFTC $15,761,432
Pishon Holding LLC   2019 CFTC $1,259,317
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
Woodbridge Group of Companies LLC   2019 SEC $892,000
Talimco, LLC   2019 SEC $399,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Stephens Inc.   2019 SEC $5,489,119
Select Money Management, Inc.   2019 SEC $61,558
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)   2019 SEC $43,034
M Holdings Securities, Inc.   2019 SEC $1,022,048
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
D.A. Davidson & Co.   2019 SEC $654,276
Trustcore Financial Services, LLC   2019 SEC $422,261
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Spire Wealth Mangement, LLC   2019 SEC $594,072
Lockwood Advisors, Inc.   2019 SEC $52,187
Kestra Private Wealth Services, LLC   2019 SEC $549,003
Kestra Advisory Services, LLC   2019 SEC $6,196,279
Janney Montgomery Scott LLC Penn Mutual financial services 2019 SEC $241,227
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.