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$13,535,778,962113
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
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
RBC Capital Markets Royal Bank of Canada financial services 2015 FINRA $1,434,000
New Futures Trading International Corporation   2012 SEC $1,433,889
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
Independent Financial Group LLC   2019 SEC $1,426,150
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
Leland Energy, Inc. et al.   2011 CA-DFPI $1,417,477
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Cosas Management Group, L.L.C.   2009 AZ-SEC $1,405,366
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
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
StateTrust Investments, Inc.   2013 FINRA $1,398,000
FX & Beyond Corporation   2018 SEC $1,392,656
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC   2020 CT-SEC $1,390,000
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Harbinger Capital Partners, LLC   2012 SEC $1,378,763
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 FINRA $1,373,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
Pacific Air Transport   2001 SEC $1,364,692
Innovative Capital Management, LLC   2008 CFTC $1,350,000
Gold Distributors, Inc.   2014 CFTC $1,349,066
Gartmore Investment Limited   2010 SEC $1,347,251
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
FFH Holdings, LLC   2019 MO-SEC $1,329,157
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
Fieldstone Financial Management Group LLC   2019 SEC $1,322,971
Colonial Tidewater Realty Income Partners   2015 SEC $1,319,386
National Planning Corporation Inc.   2005 FINRA $1,308,000
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
Appaloosa Management L.P.   2010 SEC $1,304,523
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
J. Hansen Investments, LLC   2013 CFTC $1,300,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Falconhead Capital   2009 NY-AG $1,300,000
Barclays Capital Inc. Barclays financial services 2016 FINRA $1,300,000
Mutual Service Corporation   2005 FINRA $1,300,000
Meta Funding, LLC   2007 AZ-SEC $1,299,900
Perfection PR Firm LLC   2020 CFTC $1,296,572
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
Visionary Group Holdings, Inc.   2011 CA-DFPI $1,285,750
GPS Partners, LLC   2010 SEC $1,284,171
Centaurus Financial, Inc.   2021 SEC $1,281,396
Citigroup Citigroup financial services 2012 FINRA $1,279,106
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Monex Securities Inc.   2014 FINRA $1,275,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
iFinix Futures, Inc.   2013 CFTC $1,260,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Pishon Holding LLC   2019 CFTC $1,259,317
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Robinhood Financial, LLC   2019 FINRA $1,250,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2017 FINRA $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
Citi International Financial Services LLC   2012 FINRA $1,248,000
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
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.