Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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 Year Agency Penalty Amountsort icon
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
MakeYourFuture, LLC   2017 CFTC $1,207,294
Summit Financial Group, Inc.   2020 SEC $1,206,882
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Whitebox Advisors   2014 SEC $1,202,924
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
CSG Commodity Service Group   2012 CFTC $1,200,000
Mid-Atlantic Financial, LLC et al.   2018 MD-SEC $1,200,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2015 FINRA $1,200,000
ING Groep N.V. Voya Financial financial services 2013 FINRA $1,200,000
MetLife Securities, Inc. MetLife financial services 2009 FINRA $1,200,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
IC Advisory Services Inc.   2019 SEC $1,195,186
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services 2013 FINRA $1,188,000
Investment Acquisitions Group LLC   2015 AZ-SEC $1,180,339
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
Negus Capital Incorporated   2021 CFTC $1,178,180
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Stafford Financial Firm   2017 MO-SEC $1,162,422
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,158,000
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
John Thomas Financial   2015 FINRA $1,147,288
American Portfolios Advisers Inc.   2018 SEC $1,145,353
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Wisteria Global, Inc.   2015 SEC $1,138,935
AXA Advisors, LLC Equitable Holdings financial services 2019 SEC $1,134,152
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
Farmington Investment Corp.   2011 MO-SEC $1,112,215
Pinnacle Companies, LLC   2019 SEC $1,112,000
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Computershare Trust Company of Canada   2006 SEC $1,101,868
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
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
Sure Trace Security Corporation   2007 SEC $1,098,900
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
ABS Manager   2015 SEC $1,087,648
Guardian Asset Group, LLC   2017 CFTC $1,086,033
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
Idaho Development Group, Inc.   2010 ID-SEC $1,075,980
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Merrill Lynch Bank of America financial services 2012 FINRA $1,074,200
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Strong Investment Management   2019 SEC $1,061,157
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
NPB Financial Group, LLC   2020 SEC $1,050,188
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
Team Heat, LLC   2009 AZ-SEC $1,047,931
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
First Paragon, Inc.   2000 SEC $1,040,000
Summit Financial Group, Inc.   2019 SEC $1,032,702
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
VII Peaks Capital, LLC   2021 SEC $1,030,699
Fidelity Brokerage Services LLC Fidelity Investments financial services 2015 FINRA $1,030,000
EDG Management Company, LLC   2020 SEC $1,026,642
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
Triad Advisors   2014 FINRA $1,025,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
M Holdings Securities, Inc.   2019 SEC $1,022,048
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
First Allied Securities, Inc.   2015 FINRA $1,014,647
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
Legacy Trading Co., LLC   2009 FINRA $1,007,035
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
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.