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
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
Spencer Pharmaceutical Inc.   2015 SEC $1,000,000
Athena Capital Research   2014 SEC $1,000,000
Advanced Equities Inc   2012 SEC $1,000,000
Office Depot, Inc. Office Depot retailing 2010 SEC $1,000,000
IBFX Inc.   2016 CFTC $1,000,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
Joseph Glenn Commodities LLC and JGCF LLC   2013 CFTC $1,000,000
Virtual Vision Inc.   2012 CFTC $1,000,000
Pressio Capital Management, LP   2010 CFTC $1,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 SEC $1,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Security Trust Company, N.A.   2004 SEC $1,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Rhino Advisors Inc.   2003 SEC $1,000,000
American Life, Inc.   2016 SEC $1,000,000
Pipeline Trading Systems LLC   2011 SEC $1,000,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
IFMG Securities, Inc.   2006 SEC $1,000,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Aldus Equity   2010 NY-AG $1,000,000
DAV/Wetherly Financial   2010 NY-AG $1,000,000
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
ACI Holdings, Inc.   2007 AZ-SEC $999,763
Meroe Capital Group Ltd et al.   2021 AZ-SEC $992,980
LandOak Securities LLC   2011 SEC $992,140
Fontana Capital, LLC   2011 SEC $984,790
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2018 NH-BSR $983,284
Promise Land Properties, LLC   2013 AZ-SEC $983,000
SMP Bank and Epaster Investments, Ltd.   2012 CFTC $980,000
Infinex Investments, Inc.   2019 SEC $978,698
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
LPL Financial LLC LPL Financial financial services 2020 NH-BSR $976,000
Mason Investment Advisory Services, Inc   2021 SEC $975,057
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 NY-AG $975,000
LPL Financial, LLC LPL Financial financial services 2017 NJ-AG $975,000
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC   2012 CO-SEC $975,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
Gordon & Company Ltd.   2009 MD-SEC $975,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 FINRA $963,534
Algointeractive Inc   2018 CFTC $962,200
Goldman, Sachs & Co. Goldman Sachs financial services 2011 NJ-AG $959,794
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 IN-SEC $950,000
First Allied Securities, Inc.   2016 FINRA $950,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services 2016 FINRA $950,000
Aegis Capital Corp.   2015 FINRA $950,000
LPL Financial LLC LPL Financial financial services 2014 FINRA $950,000
Lincoln Financial Advisors Corporation Lincoln National financial services 2005 FINRA $950,000
Hudson Bay Capital Management   2013 SEC $949,453
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C.   2003 AZ-SEC $945,025
Quogue Capital LLC   2008 SEC $944,056
Intervoice   2007 SEC $942,628
Coachman Energy Partners LLC   2017 SEC $941,507
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
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.