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
Pacific Air Transport   2001 SEC $1,364,692
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 FINRA $1,373,000
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
Harbinger Capital Partners, LLC   2012 SEC $1,378,763
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC   2020 CT-SEC $1,390,000
FX & Beyond Corporation   2018 SEC $1,392,656
StateTrust Investments, Inc.   2013 FINRA $1,398,000
Madison Dean, Inc.   2013 CFTC $1,400,000
Midway Trading Company, LLC and Conquest Investment Group, Inc.   2012 CFTC $1,400,000
JG Forex Fund   2011 CFTC $1,400,000
Colonial Fund LLC and Colonial Investment Management LLC   2009 SEC $1,400,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
The Bancorp, Inc.   2019 SEC $1,400,000
BGC Partners, Inc. BGC Partners financial services 2020 SEC $1,400,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2017 FINRA $1,400,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2015 FINRA $1,400,000
Wachovia Securities, LLC Wells Fargo financial services 2009 FINRA $1,400,000
State Street Global Markets LLC State Street Corp. financial services 2005 FINRA $1,400,000
Commonwealth Financial Network   2005 FINRA $1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
Cosas Management Group, L.L.C.   2009 AZ-SEC $1,405,366
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Leland Energy, Inc. et al.   2011 CA-DFPI $1,417,477
Ecoval Dairy Trade, Inc.   2011 CFTC $1,425,000
State Bonding dba State Bonding California   2011 IN-SEC $1,425,000
LPL Financial LLC LPL Financial financial services 2015 MULTI-FIN $1,425,000
Independent Financial Group LLC   2019 SEC $1,426,150
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
New Futures Trading International Corporation   2012 SEC $1,433,889
RBC Capital Markets Royal Bank of Canada financial services 2015 FINRA $1,434,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
Mazuma Corporation et al.   2013 SEC $1,449,978
Norstreet Portfolio, LLC   2010 AZ-SEC $1,452,599
International Air Medical Services, Inc.   2013 AZ-SEC $1,456,300
My Global Leverage, LLC   2016 CFTC $1,465,528
Wealth Management LLC   2010 SEC $1,471,002
Instinet, LLC and INET ATS, Inc.   2005 FINRA $1,475,000
Founders Financial Securities, LLC   2019 SEC $1,475,465
VCAP Securities   2015 SEC $1,477,332
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
Wright Time Capital Group LLC   2018 CFTC $1,485,000
Hope Advisors, LLC   2018 SEC $1,487,235
Goldman Sachs Goldman Sachs financial services 2012 CFTC $1,500,000
Newbridge Metals, LLC   2013 CFTC $1,500,000
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
FCStone LLC StoneX Group financial services 2013 CFTC $1,500,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
Calpine Energy Services, L.P. Energy Capital Partners private equity (including portfolio companies) 2004 CFTC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
Advantage Futures LLC   2016 CFTC $1,500,000
McVean Trading & Investments, LLC   2017 CFTC $1,500,000
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Federated Global Investment Management Corp.   2016 SEC $1,500,000
Geneva Trading USA, LLC   2018 CFTC $1,500,000
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
Classic Energy LLC   2019 CFTC $1,500,000
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Nelson Finance, Inc. et al.   2005 MD-SEC $1,500,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC   2014 MD-SEC $1,500,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
Fulton Financial Corporation Fulton Financial financial services 2020 SEC $1,500,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 FINRA $1,500,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2016 FINRA $1,500,000
Brookville Capital Partners LLC   2015 FINRA $1,500,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
HSBC Securities (USA) HSBC financial services 2010 FINRA $1,500,000
Mutual Service Corporation   2009 FINRA $1,500,000
ING Funds Distributor Voya Financial financial services 2005 FINRA $1,500,000
McDonald Investments Inc.   2005 FINRA $1,500,000
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
Worldco LLC   2004 FINRA $1,500,000
Knight Securities L.P. Virtu Financial financial services 2002 FINRA $1,500,000
Tyson Foods, Inc. Tyson Foods food products 2021 CFTC $1,500,000
Credit Suisse Credit Suisse financial services 2021 CFTC $1,500,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   2005 FINRA $1,520,000
Currency Trading Systems   2001 CFTC $1,521,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Lek Securities Corp.   2019 SEC $1,525,892
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.