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
Edge Trading, LLC   2017 NJ-AG $1,000,000
Northern Trust Company Northern Trust financial services 2019 CFTC $1,000,000
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Cogar Financial Services, Inc.   2008 CA-DFPI $1,000,000
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
MetLife, Inc. MetLife financial services 2018 MA-SEC $1,000,000
Diversified Marketing Consultants, Inc. et al.   2012 MD-SEC $1,000,000
New Haven Capital Holdings, L.L.C.   2014 MI-SEC $1,000,000
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
Access Capital Education & Services Co. Inc. et al.   2015 NJ-BOS $1,000,000
Hobo Prince Economic Project, LLC et al.   2012 OR-FIN $1,000,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
Strudwick & Associates, Inc.   2020 MD-SEC $1,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2012 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2011 FINRA $1,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2011 FINRA $1,000,000
Trillium Brokerage Services, LLC   2010 FINRA $1,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2009 FINRA $1,000,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2009 FINRA $1,000,000
RD Capital Group   2009 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Fiero Brothers, Inc.   2002 FINRA $1,000,000
DBRS, INC.   2021 SEC $1,000,000
Stable Road Acquisition Company   2021 SEC $1,000,000
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
Legacy Trading Co., LLC   2009 FINRA $1,007,035
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
First Allied Securities, Inc.   2015 FINRA $1,014,647
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
M Holdings Securities, Inc.   2019 SEC $1,022,048
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
Triad Advisors   2014 FINRA $1,025,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
EDG Management Company, LLC   2020 SEC $1,026,642
Fidelity Brokerage Services LLC Fidelity Investments financial services 2015 FINRA $1,030,000
VII Peaks Capital, LLC   2021 SEC $1,030,699
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
Summit Financial Group, Inc.   2019 SEC $1,032,702
First Paragon, Inc.   2000 SEC $1,040,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
First Heartland Consultants, Inc.   2021 SEC $1,045,528
Team Heat, LLC   2009 AZ-SEC $1,047,931
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
NPB Financial Group, LLC   2020 SEC $1,050,188
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Strong Investment Management   2019 SEC $1,061,157
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Merrill Lynch Bank of America financial services 2012 FINRA $1,074,200
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Idaho Development Group, Inc.   2010 ID-SEC $1,075,980
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
Guardian Asset Group, LLC   2017 CFTC $1,086,033
ABS Manager   2015 SEC $1,087,648
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Focus Point Solutions and The H Group   2012 SEC $1,100,000
WorldPMX, Inc.   2014 CFTC $1,100,000
PassThrough Investments, LLC   2012 CFTC $1,100,000
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Ruby Corporation   2014 SEC $1,100,000
Extreme Energy Solutions, Inc.   2014 NJ-AG $1,100,000
Belvedere Trading LLC   2019 CFTC $1,100,000
LPL Financial LLC LPL Financial financial services 2019 MA-SEC $1,100,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $1,100,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services 2009 FINRA $1,100,000
Banorte Securities International, Ltd.   2008 FINRA $1,100,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
Computershare Trust Company of Canada   2006 SEC $1,101,868
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
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.