Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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 Year Agency Penalty Amountsort icon
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
SCF Investment Advisors, Inc.   2020 SEC $767,192
Welhouse & Associates, Inc.   2015 SEC $769,059
Credit Suisse First Boston LLC Credit Suisse financial services 2004 FINRA $770,000
Green Tree Investment Group   2017 SEC $770,356
AXA Advisors, LLC Equitable Holdings financial services 2019 FINRA $772,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2014 FINRA $775,000
Horter Investment Management, LLC   2017 SEC $778,804
WCAS Management Corporation?   2018 SEC $778,819
SoBell Corp.   2019 AZ-SEC $779,450
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
Western Pacific Capital Management, LLC   2012 SEC $781,940
MiddleCove Capital, LLC   2013 SEC $788,118
Orthogistic Labs, Inc. et al.   2019 MO-SEC $789,183
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
iPractice Group, Inc.   2018 MO-SEC $789,706
Educators Financial Services, Inc.   2021 SEC $790,365
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
eBX LLC   2012 SEC $800,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
Compass Capital Group, Inc.   2009 SEC $800,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
M.A.C. Investments, Inc. and M.A.C. Investment Sales, Inc.   2005 MD-SEC $800,000
Cormark Securities Inc.   2020 SEC $800,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
StockCross Financial Services, Inc.   2015 FINRA $800,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2014 FINRA $800,000
Guggenheim Securities, LLC   2012 FINRA $800,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2010 FINRA $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
SG Cowen, LLC Cowen Inc. financial services 2004 FINRA $800,000
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
OneAmerica Securities, Inc.   2014 IN-SEC $805,000
Howard Price Wealth Management, LLC   2018 AZ-SEC $806,994
Check and Send, Inc.   2005 AZ-SEC $807,484
American Insurance Services, L.L.C.   2002 AZ-SEC $810,300
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Instinet LLC   2013 SEC $813,280
Hennessee Group LLC   2009 SEC $814,644
Ardsley Advisory Partners   2013 SEC $815,071
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $815,218
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
Morgan Stanley Morgan Stanley financial services 2012 FINRA $817,754
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Kuypow, Inc. dba Mo's Properties and Investment Group   2008 AZ-SEC $819,290
Pinnacle Forex Group LLC   2014 CFTC $819,378
Motilal Oswal Securities Limited   2012 SEC $821,594
Lodge Capital Group, LLC   2011 CFTC $825,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
Global Bullion Exchange, LLC   2010 MD-SEC $825,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2004 FINRA $825,000
Investment Midwest LLC   2017 MO-SEC $836,936
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
System Capital, LLC   2013 CFTC $840,000
Concorde America, Inc.   2009 SEC $841,175
Institutional Investors Advisory Company   2017 SEC $843,187
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
Regal Investment Advisors LLC   2021 SEC $846,774
Rafferty Capital Markets   2014 SEC $849,626
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Clay Capital Management LLC   2012 SEC $850,000
ACI Capital Group, L.L.C.   2012 CFTC $850,000
Basic Capital Management, Inc.   2002 SEC $850,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
NatWest Markets Plc NatWest Group PLC financial services 2019 CFTC $850,000
Harding Advisory LLC   2019 SEC $850,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2016 MO-SEC $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 FINRA $850,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Intercapital Management Ltd.   2021 NJ-BOS $852,500
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Aerokinetic Energy Corporation   2011 SEC $859,571
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $860,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2021 SEC $863,326
Vollero Beach Capital Partners   2013 SEC $864,427
Clear Energy Group, LLC   2018 AZ-SEC $865,000
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
C-Street Financial Group et al.   2011 AZ-SEC $874,260
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
Augustine Capital Management LLC   2017 SEC $878,305
Summit Brokerage Services, Inc.   2019 FINRA $880,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Phydea Equity Fund, LLC   2008 MD-SEC $890,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Woodbridge Group of Companies LLC   2019 SEC $892,000
Deer Park Development Corp.   2015 AZ-SEC $892,630
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.