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
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
Robert W. Baird & Co.   2009 FINRA $934,510
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
BPU Investment Management, Inc.   2020 SEC $927,107
J.J.B. Hilliard and W.L. Lyons, LLC   2019 SEC $925,023
Foremost Trading LLC   2020 CFTC $923,013
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2013 FINRA $921,000
Cantella & Co., Inc.   2019 SEC $919,597
Massachusetts Financial Services Company Sun Life Financial financial services 2003 SEC $917,858
First New York Securities L.L.C.   2015 FINRA $916,000
Briargate Trading LLP   2015 SEC $912,842
Listo, Inc.   2005 AZ-SEC $906,875
JPMorgan Chase & Co. JPMorgan Chase financial services 2016 IN-SEC $905,000
Ross, Sinclaire & Associates, LLC   2016 SEC $903,574
Galaxy Coin, LLC   2009 ID-SEC $903,000
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
Venture Capital Investments LLC   2020 CFTC $900,604
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
Hamlin Capital Management, LLC?   2018 SEC $900,000
Argo Group International Holdings, Ltd.   2020 SEC $900,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 MI-SEC $900,000
Waddell & Reed, Inc. Macquarie financial services 2016 NH-BSR $900,000
Lek Securities Corporation   2019 FINRA $900,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
Stephens Inc.   2016 FINRA $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2009 FINRA $900,000
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
Kovack Advisors, Inc.   2019 SEC $898,781
Berkshire Hathaway Inc. Berkshire Hathaway diversified 2014 DOJ_ANTITRUST $896,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Fry Hensley and Company   2013 SEC $894,657
Deer Park Development Corp.   2015 AZ-SEC $892,630
Woodbridge Group of Companies LLC   2019 SEC $892,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Phydea Equity Fund, LLC   2008 MD-SEC $890,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Summit Brokerage Services, Inc.   2019 FINRA $880,000
Augustine Capital Management LLC   2017 SEC $878,305
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
C-Street Financial Group et al.   2011 AZ-SEC $874,260
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Vollero Beach Capital Partners   2013 SEC $864,427
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $860,000
Aerokinetic Energy Corporation   2011 SEC $859,571
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Clay Capital Management LLC   2012 SEC $850,000
ACI Capital Group, L.L.C.   2012 CFTC $850,000
Basic Capital Management, Inc.   2002 SEC $850,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
NatWest Markets Plc NatWest Group PLC financial services 2019 CFTC $850,000
Harding Advisory LLC   2019 SEC $850,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2016 MO-SEC $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 FINRA $850,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Rafferty Capital Markets   2014 SEC $849,626
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
Institutional Investors Advisory Company   2017 SEC $843,187
Concorde America, Inc.   2009 SEC $841,175
System Capital, LLC   2013 CFTC $840,000
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Investment Midwest LLC   2017 MO-SEC $836,936
Lodge Capital Group, LLC   2011 CFTC $825,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
Global Bullion Exchange, LLC   2010 MD-SEC $825,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2004 FINRA $825,000
Motilal Oswal Securities Limited   2012 SEC $821,594
Pinnacle Forex Group LLC   2014 CFTC $819,378
Kuypow, Inc. dba Mo's Properties and Investment Group   2008 AZ-SEC $819,290
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Morgan Stanley Morgan Stanley financial services 2012 FINRA $817,754
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $815,218
Ardsley Advisory Partners   2013 SEC $815,071
Hennessee Group LLC   2009 SEC $814,644
Instinet LLC   2013 SEC $813,280
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
American Insurance Services, L.L.C.   2002 AZ-SEC $810,300
Check and Send, Inc.   2005 AZ-SEC $807,484
Howard Price Wealth Management, LLC   2018 AZ-SEC $806,994
OneAmerica Securities, Inc.   2014 IN-SEC $805,000
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
eBX LLC   2012 SEC $800,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
Compass Capital Group, Inc.   2009 SEC $800,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
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.