Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
GunnAllen Financial, Inc.   2008 FINRA $750,000
Park Avenue Securities LLC   2015 FINRA $743,255
AuroraTek Incorporated   2020 AZ-SEC $742,420
Southwest Services, L.L.C.   2020 CFTC $740,968
Cincinnati Analysts, Inc.   2014 MO-SEC $740,000
Davenport & Co. LLC   2004 FINRA $738,000
First Allied Securities, Inc.   2005 FINRA $734,500
GenTecnics, LLC and iCorp LLC   2018 AZ-SEC $734,120
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
National Asset Management, Inc.   2019 SEC $733,423
Hardy Asset Management   2007 AZ-SEC $732,076
Capital Oil & Gas, Limited   2011 AZ-SEC $732,000
Southwest Biofuels, LLC   2012 AZ-SEC $730,711
Merrill, Lynch, Pierce, Fenner and Smith, Inc. Bank of America financial services 2010 NJ-AG $728,260
H.D. Vest Investment Securities, Inc.   2004 SEC $725,216
Triland USA Inc.   2010 CFTC $725,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
Costa Playa Uno, LLC   2020 MD-SEC $725,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $725,000
MacAndrews & Forbes Holdings Inc MacAndrews & Forbes diversified 2013 DOJ_ANTITRUST $720,000
MacAndrews & Forbes MacAndrews & Forbes diversified 2013 FTC $720,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2009 MULTI-FIN $720,000
Amaranth Advisors L.L.C.   2007 SEC $716,819
Commonwealth Communications Group   2001 SEC $716,516
ISC Advisors, Inc.   2021 SEC $716,345
Valor Capital Asset Management, LLC   2018 SEC $715,871
Hold Brothers Online Investment Services, LLC   2017 SEC $707,764
J.P. Turner & Company, L.L.C.   2013 FINRA $707,559
PPS Advisors Inc.   2018 SEC $706,746
Bryn Advisory Group, LLC   2013 FL-OFR $705,000
Cetera Advisors LLC   2015 FINRA $702,622
Cantella & Co., Inc.   2021 SEC $701,630
Double Eagle Enterprises, LLC   2015 CFTC $700,000
Cantor Fitzgerald Cantor Fitzgerald financial services 2012 CFTC $700,000
Interactive Brokers LLC Interactive Brokers Group financial services 2012 CFTC $700,000
Progressive Investment Funds LLC   2012 CFTC $700,000
Newedge USA, LLC   2012 CFTC $700,000
Jeff Shalhoub Investments   2011 CFTC $700,000
Microphase Corp.   2007 SEC $700,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Needham & Company, Inc.   2004 SEC $700,000
Instinet, LLC and INET ATS, Inc.   2005 SEC $700,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Mirae Asset Daewoo Co., Ltd.   2020 CFTC $700,000
Leland Energy, Inc.   2014 CO-SEC $700,000
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
Workman Securities Corp.   2011 FINRA $700,000
Piper Jaffray & Co. Piper Sandler financial services 2010 FINRA $700,000
Pacific Cornerstone Capital   2009 FINRA $700,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 FINRA $700,000
Sentinel Financial Services Company   2004 FINRA $700,000
Alpha Titans LLC   2015 SEC $698,450
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
Spark Trading Group LLC   2019 SEC $694,915
Bob's Cash Express, Inc. et al.   2003 AZ-SEC $693,320
Citigroup Global Markets, Inc. Citigroup financial services 2010 IN-SEC $692,000
Adamas Investments, LLC   2010 AZ-SEC $690,125
Ferris, Baker Watts LLC Royal Bank of Canada financial services 2010 FINRA $690,000
Jefferson Pilot Variable Corporation Lincoln National financial services 2005 FINRA $688,697
EyeCashNetworks, Inc. and Alliance Equities, Inc.   2003 SEC $688,230
Wall Street Access   2006 SEC $688,084
SA Stone Investment Advisors Inc.   2019 SEC $687,374
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Goldman Sachs Goldman Sachs financial services 2012 FINRA $683,997
Watkins Development, LLC   2014 MS-SEC $680,131
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
Highline Estates, LLC et al.   2009 AZ-SEC $676,570
Butler Classic Homes, LLC et al.   2009 MD-SEC $675,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 FINRA $675,000
SG Americas Securities, Inc. Societe Generale financial services 2013 FINRA $675,000
Hantz Financial Services, Inc.   2005 FINRA $675,000
TradeMasters USA, LLC   2018 CFTC $674,504
All City Investments, LLC   2018 CFTC $670,912
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 WA-FIN $669,500
D.E. Shaw & Co.   2013 SEC $667,492
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
Herman's World of Sports, Inc.   2005 SEC $663,685
Pan Capital AB   2013 SEC $662,497
Omni Horizon Group, LLP   2005 AZ-SEC $661,676
Stracq, Inc.   2005 SEC $660,000
New Century Homes of Carolina, Inc.   2011 MD-SEC $660,000
Frontier Wealth Management, LLC   2021 SEC $658,712
SII Investments, Inc.   2005 FINRA $658,500
D.A. Davidson & Co.   2019 SEC $654,276
Performance Arbitrage Company, Inc. et al.   2020 AZ-SEC $653,191
Motion DNA, Inc.   2010 AZ-SEC $650,712
MBF Clearing Corp.   2012 CFTC $650,000
Alpine Woods Capital Investors, LLC   2011 SEC $650,000
David Lerner Associates, Inc.   2017 NJ-AG $650,000
HSBC Bank USA, N.A. HSBC financial services 2019 CFTC $650,000
Pacific Coast Holding Co. and Hall of Fame Partners, LLC   2008 AZ-SEC $650,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
Wireline, Inc.   2021 SEC $650,000
Belden Inc. Belden industrial equipment 2020 SEC $650,000
Georgeson Securities Corporation   2016 FINRA $650,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2015 FINRA $650,000
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.