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
Key West Yogurt International, Inc.   2016 VA-SEC $547,750
Inter-Global Currency & Precious Metals   2015 CFTC $547,342
Cornerstone Senior Planning   2006 AZ-SEC $545,000
Edwin Shaw LLC   2018 SEC $544,744
Popular Securities, LLC   2019 SEC $544,577
Interinvest Corp.   2015 NH-BSR $544,085
Neilsen Financial Services   2015 CT-SEC $543,000
SpotFN.com and Spot FN, LLC and Binary Holdings and Binary Academics   2016 MO-SEC $542,822
Barcelona Strategies LLC   2018 SEC $542,120
TJM Proprietary Trading LLC   2009 SEC $541,000
Peacock, Hislop, Staley & Given, Inc.   2000 FINRA $539,117
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
J.C. Bradford & Co.   2000 FINRA $536,000
Southpoint Capital Advisors   2013 SEC $534,757
Phoenician Entertainment, L.L.C.   2011 AZ-SEC $534,000
Wunderlich Securities, Inc.   2011 SEC $532,624
Questar Asset Management, Inc.   2019 SEC $527,566
Citigroup Citigroup financial services 2012 CFTC $525,000
Vision Financial Markets LLC   2013 CFTC $525,000
ESL Partners, L.P.   2008 FTC $525,000
Pre-IPO Venture Capital Fund, L.L.C.   2002 AZ-SEC $525,000
Commerce Brokerage Services, Inc.   2008 MO-SEC $525,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2009 MULTI-FIN $525,000
Innovative Construction, Inc. and Atlantic Lexus, Ltd.   2013 AZ-SEC $524,754
Midwest Metals Exchange   2015 CFTC $522,852
Palm Beach Capital LLC   2014 CFTC $520,960
Blackthorn Investment Group   2013 SEC $520,207
One World Capital Group   2010 CFTC $520,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
H&M Petroleum Corporation and American Energy Resources Corporation   2008 SEC $510,000
Daedalus Capital, LLC   2015 IL-SEC $509,553
Arizona Acquisitions Group LLC   2021 AZ-SEC $505,900
Pilar Investments LLC et al.   2012 HI-SEC $504,192
Semper Capital Management, L.P.   2020 SEC $503,228
Legacy Group, Inc.   2021 SEC $502,726
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
Telex Mobile Holdings, Inc.   2018 SEC $500,870
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Citigroup Global Markets Inc. Citigroup financial services 2015 SEC $500,000
Goldman, Sachs & Co. Goldman Sachs financial services 2015 SEC $500,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2015 SEC $500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2015 SEC $500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 SEC $500,000
Piper Jaffray & Co. Piper Sandler financial services 2015 SEC $500,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2015 SEC $500,000
Robert W. Baird & Co. Incorporated   2015 SEC $500,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2015 SEC $500,000
Futures International LLC   2015 CFTC $500,000
Cargill de Mexico SA De CV Cargill agribusiness 2015 CFTC $500,000
Multigrain SA and Agricola Xingu SA   2014 CFTC $500,000
Francis Grant Investments Inc.   2011 CFTC $500,000
Cyber Market Group LLC   2011 CFTC $500,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P.   2010 CFTC $500,000
Veras Investment Partners, LLC   2005 CFTC $500,000
Sogemin Metals Inc.   2000 CFTC $500,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
AssetMark, Inc.   2016 SEC $500,000
TD Securities (USA) LLC Toronto-Dominion Bank financial services 2016 SEC $500,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 SEC $500,000
Jefferies LLC Jefferies Financial Group diversified 2016 SEC $500,000
D.A. Davidson & Co.   2016 SEC $500,000
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
PNC Capital Markets LLC PNC Financial Services financial services 2015 SEC $500,000
John Thomas Financial Inc.   2013 SEC $500,000
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Lyxor Asset Management, Inc.   2018 SEC $500,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
Ophrys, LLC   2018 SEC $500,000
Pax World Management Corp.   2008 SEC $500,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
Essex Futures   2019 CFTC $500,000
Girvin & Ferlazzo, P.C.   2008 NY-AG $500,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Patricia Lynch Associates, Inc.   2010 NY-AG $500,000
Platinum Advisors   2010 NY-AG $500,000
Mitsubishi Corporation RtM Japan Ltd. Mitsubishi Group diversified 2019 CFTC $500,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Enigma MPC   2020 SEC $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Southridge Capital Management LLC   2018 CT-SEC $500,000
LPL Financial LLC LPL Financial financial services 2013 MA-SEC $500,000
Capital Investment Group, Inc.   2016 MD-SEC $500,000
Merrill Lynch Bank of America financial services 2002 NH-BSR $500,000
Morgan Stanley Morgan Stanley financial services 2004 NH-BSR $500,000
Financial Planning Advisors, LLC   2018 NJ-BOS $500,000
LeGall Holdings, Inc.   2019 NJ-BOS $500,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
OANDA Corporation   2020 CFTC $500,000
E-Trade Securities, LLC Morgan Stanley financial services 2008 FINRA $500,000
Summit Brokerage Services, Inc.   2016 FINRA $500,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
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.