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$13,547,438,962115
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
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2015 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $650,000
Goldman, Sachs & Co. Goldman Sachs financial services 2010 FINRA $650,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 FINRA $650,000
Wachovia Securities LLC Wells Fargo financial services 2004 FINRA $650,000
Agricultural Services of America, Inc. and Agricultural Investments of America, Inc.   2001 ID-SEC $649,882
MetLife Securities, Inc. MetLife financial services 2015 FINRA $649,748
World Tree Financial, LLC   2021 SEC $647,947
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Essex Financial Services Inc.   2019 SEC $645,000
Tucker Financial Services Inc.   2015 VT-FIN $644,886
Technology Communication Management, LLC   2009 VA-SEC $640,000
Millennium Management LLC   2017 SEC $638,709
National Estate Planning Service and Planning and Senior Advisory Services   2006 AZ-SEC $635,000
Suncoast Financial Services Of North American, Inc.   2002 FL-OFR $635,000
CNE Enterprises, LLC   2013 HI-SEC $630,240
Millennium Management LLC   2017 SEC $630,000
JLR Group et al.   2008 MD-SEC $625,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
Securities America Reverence Capital Partners private equity (including portfolio companies) 2014 FINRA $625,000
JP Morgan JPMorgan Chase financial services 2012 FINRA $623,376
Verto Capital Management LLC   2018 SEC $620,594
Auriga Global Investors, Sociedad de Valores, S.A.   2015 SEC $618,401
Bio-Heal Laboratories, Inc.   2006 SEC $618,135
Global Pacific Investments, LLC   2009 MD-SEC $616,000
International Global Positioning, Inc.   2004 AZ-SEC $615,951
Gilford Securities, Incorporated   2011 SEC $612,113
Third Point LLC   2019 FTC $609,810
Third Point LLC   2019 DOJ_ANTITRUST $609,810
James Investment Advisers, LLC   2012 CO-SEC $609,000
K.B. Concepts Group, LLC   2017 CFTC $607,955
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $603,776
Cindium Inc. and Einstein Exchange Group Inc.   2016 CFTC $601,000
JPMorgan Chase Bank JPMorgan Chase financial services 2012 CFTC $600,000
IBFX, Inc.   2014 CFTC $600,000
FXDirectDealer, LLC   2014 CFTC $600,000
The Borrowing Station, LLC   2013 CFTC $600,000
EagleEye Asset Management   2013 CFTC $600,000
Pro Trading Course, LLC   2012 CFTC $600,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
R.J. O'Brien & Associates LLC   2018 CFTC $600,000
Opulent Properties LLC et al.   2006 AZ-SEC $600,000
Great Eastern Securities, Inc.   2007 CT-SEC $600,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 TX-SEC $600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
AXA Advisors, LLC Equitable Holdings financial services 2015 FINRA $600,000
Northern Trust Securities Northern Trust financial services 2011 FINRA $600,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services 2011 FINRA $600,000
Citigroup Global Markets Inc. Citigroup financial services 2009 FINRA $600,000
National Securities Corp.   2004 FINRA $600,000
Landaas & Company   2018 SEC $598,941
Amada Capital Management LLC   2020 CFTC $596,700
Spire Wealth Mangement, LLC   2019 SEC $594,072
Lakeside Capital Management, LLC   2014 SEC $590,152
Global Consortiums LLC   2015 CFTC $589,660
Equity Services Inc.   2019 SEC $587,017
L.M. Kohn & Company   2019 SEC $586,882
Strategic Capital Group LLC   2014 SEC $586,290
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
Classic Energy LLC   2021 CFTC $585,000
Commonwealth Financial Network   2015 FINRA $582,521
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
Coordinated Capital Securities, Inc.   2020 SEC $581,961
City Securities Corporation   2013 SEC $580,000
Capital Concept Marketing, Inc.   2005 SEC $580,000
Hope Capital, Inc.   2016 SEC $579,747
American Portfolio Asset Management, Inc.   2015 CFTC $578,474
China Valves Technology Inc.   2015 SEC $575,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
Deutsche Bank Securities Deutsche Bank financial services 2010 FINRA $575,000
ConTXT, Inc   2021 SEC $571,153
Performance Realty Management, LLC   2019 ID-SEC $570,800
Quick & Reilly, Inc.   2005 FINRA $570,000
Axess Trading Co., Inc.   2006 CFTC $569,437
Edelweiss Financial Services Limited   2012 SEC $568,347
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C.   2008 AZ-SEC $566,573
New Century Investments, LLC   2008 MO-SEC $565,000
Park Avenue Securities LLC   2019 SEC $564,267
Social Automotive Management Services, LLC et al.   2019 MO-SEC $561,629
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2006 SEC $558,806
Retirement Planners of America, Inc.   2011 IN-SEC $555,614
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SEC $552,086
Hale Associates, Inc.   2002 DE-SEC $551,000
Canaccord Genuity Inc.   2016 SEC $550,198
Bunge Global Markets, Inc. Bunge agribusiness 2011 CFTC $550,000
Iconix Brand Group Iconix Brand Group apparel 2007 DOJ_ANTITRUST $550,000
John Hancock Life Insurance Co. Manulife Financial financial services 2014 MA-AG $550,000
Manatt Phelps & Phillips, LLP   2010 NY-AG $550,000
Vertical Integration Group LLC dba Churchill Clearing Corp.   2014 FL-OFR $550,000
Securities Service Network, Inc. and SSN Advisory, Inc.   2015 MO-SEC $550,000
Minnesota Mutual Life Insurance Co. and Ascend Financial Services   2001 MS-SEC $550,000
Prudential Equity Group LLC Prudential Financial financial services 2004 FINRA $550,000
Kestra Private Wealth Services, LLC   2019 SEC $549,003
Key West Yogurt International, Inc.   2016 VA-SEC $547,750
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.