« Return to search form

Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$11,679,855,33361
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
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
MFG Investments, LLC   2020 PA-BKG $15,000
Solium Financial Services LLC Morgan Stanley financial services 2020 PA-BKG $52,372
MAC Business Services, Ltd. and BTB Investments, LLC   2020 PA-BKG $150,000
H I Management Services Inc.   2020 SC-SEC $5,500
Randomwalk Innovations, LLC   2020 SC-SEC $5,000
USI-Tech Limited   2020 SC-SEC $50,000
Independent Financial Group, LLC   2020 SD-SEC $18,750
Solium Financial Services LLC Morgan Stanley financial services 2020 SD-SEC $5,750
Northern Trust Hedge Fund Services LLC Northern Trust financial services 2020 SEC $167,629
WCAS Management Corporation   2020 SEC $100,000
Gilder Gagnon Howe & Co. LLC   2020 SEC $1,700,000
Navian Capital Securities LLC   2020 SEC $40,000
Coordinated Capital Securities, Inc.   2020 SEC $581,961
Unikrn Inc.   2020 SEC $6,100,000
Park View School, Inc.   2020 SEC $30,000
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Graham, Bordelon and Golson & Gilbert, Inc.   2020 SEC $176,399
SQN Capital Management, LLC   2020 SEC $75,000
Signature Financial Services, Ltd.   2020 SEC $276,580
National Financial Services LLC   2020 SEC $2,461,193
Vstock Transfer LLC   2020 SEC $65,000
NPB Financial Group, LLC   2020 SEC $1,050,188
SCF Investment Advisors, Inc.   2020 SEC $767,192
Boon Tech   2020 SEC $5,600,334
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
Rialto Capital Management, LLC   2020 SEC $350,000
WBI Investments Inc.   2020 SEC $750,000
Millington Securities Inc.   2020 SEC $250,000
Birinyi Associates, Inc.   2020 SEC $100,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Celadon Financial Group LLC   2020 SEC $125,000
IRTH Communications, LLC   2020 SEC $74,233
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
First Western Capital Management Company   2020 SEC $200,000
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
Plutus Technologies Philippines Corp.   2020 SEC $150,000
BNB Wealth Management, LLC   2020 SEC $74,417
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
Telegram Group Inc.   2020 SEC $18,500,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
Vereit, Inc. Vereit Inc. real estate 2020 SEC $8,000,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Spiderworx Media LLC   2020 SEC $60,000
An L.A. Minute LLC   2020 SEC $100,000
Save.Win LLC   2020 TN-SEC $23,210
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
Halydean Corp.   2020 WA-SEC $20,000
Paramount Financial Advisors LLC   2020 WA-SEC $80,000
PrimeFund, Inc. dba WealthFlex   2020 WA-SEC $12,500
603 Financial, Inc. dba Goddard Financial Planning   2020 WA-SEC $15,000
Full_Tilton Ventures, LLC   2020 WA-SEC $7,500
AuroraTek Incorporated   2020 AZ-SEC $742,420
Bright Light Capital Advisor, Inc.   2020 CA-DFPI $5,000
Benzer Franchising, LLC   2020 CA-DFPI $5,000
United Gold Direct, LLC   2020 CA-DFPI $45,112
Sportball Systems USA, LLC   2020 CA-DFPI $5,000
Venture Capital Investments LLC   2020 CFTC $900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Morgan Stanley Capital Services LLC Morgan Stanley financial services 2020 CFTC $5,000,000
A&A Trading, Inc.   2020 CFTC $495,329
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
ARB Trading Group LP   2020 CFTC $445,000
Gain Capital Group, LLC GAIN Capital Holdings financial services 2020 CFTC $300,000
JPMorgan Chase & Company JPMorgan Chase financial services 2020 CFTC $920,200,000
FNY Partners Fund LP   2020 CFTC $450,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
Marex North America LLC   2020 CFTC $250,000
Marex Spectron International Limited   2020 CFTC $120,000
EOX Holdings LLC   2020 CFTC $120,000
Futures International LLC   2020 CFTC $120,000
OTC Europe LLP   2020 CFTC $120,000
Sukarne SA de CV   2020 CFTC $35,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CO-SEC $69,338
The Hansbury Group, LLC   2020 CT-BKG $5,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-BKG $150,000
Quint Wealth Management, Inc.   2020 CT-BKG $5,000
Boomerang Capital, LLC   2020 CT-BKG $5,020
Solace Investments, LLC   2020 CT-BKG $300,000
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-BKG $10,510
Pathmaker Solutions, LLC   2020 DE-AG $100,000
Solium Financial Services LLC Morgan Stanley financial services 2020 IL-SEC $11,385
Thrivent Investment Management Inc. Thrivent Financial financial services 2020 IL-SEC $400,000
Wealth Management of Kentucky Inc.   2020 KY-FIN $5,000
Green Square Capital Louisville LLC   2020 KY-FIN $25,000
Crossroads Community Church Inc.   2020 KY-FIN $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 KY-FIN $5,465
Ionx Capital Holdings Inc.   2020 KY-FIN $10,000
Kelcas Corporation et al.   2020 KY-FIN $5,000
DMK Advisor Group, Inc.   2020 MO-SEC $5,000
Conestoga Trust   2020 MO-SEC $10,000
V Wealth Advisers, LLC   2020 MO-SEC $7,500
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MT-SEC $14,700
Mascoma Wealth Management LLC   2020 NH-BSR $7,500
DAI Securities LLC   2020 NH-BSR $5,000
LPL Financial LLC LPL Financial financial services 2020 NH-BSR $976,000
AEI Net Lease Portfolio XIII DST   2020 NH-BSR $5,000
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.