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
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
Charles Schwab & Company Charles Schwab Corp. financial services 2013 FINRA $500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2012 FINRA $500,000
Citigroup Global Markets, Inc. Citigroup financial services 2011 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $500,000
J.J.B. Hilliard, W.L. Lyons Inc.   2009 FINRA $500,000
New England Securities MetLife financial services 2009 FINRA $500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2007 FINRA $500,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
R.D. White & Co., Inc.   2000 FINRA $500,000
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
SummerHaven Investment Management LLC   2021 CFTC $500,000
Pareteum Corporation   2021 SEC $500,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
LPL Financial LLC LPL Financial financial services 2019 MD-SEC $499,000
Newbridge Securities Corporation   2017 PA-BKG $499,000
Complete Business Solutions Group Inc. dba Par Funding   2018 PA-BKG $499,000
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.?   2006 SEC $495,596
A&A Trading, Inc.   2020 CFTC $495,329
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2000 FINRA $495,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
Billionaire Investor Group, The Toole Group Inc., and?Catalyst Traders LLC   2017 CFTC $493,141
Gain Capital UK Limited   2020 CFTC $491,671
Vertical Capital Partners, Inc.   2007 SEC $490,432
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
A Better Financial Plan LLC   2019 PA-BKG $490,000
Wattenberg 1 LLC et al.   2021 AZ-SEC $488,880
Skytec Security Midwest LLC and Skytec Security Operations LLC   2021 MO-SEC $488,669
MIAI, Inc.   2019 SEC $488,579
Spring Hill Capital Markets, LLC, et al.   2019 SEC $485,803
Manitex International, Inc. et al.   2020 SEC $485,000
Jackson National Life Insurance Co Prudential PLC financial services 2008 CT-AG $484,000
Lavender Farms, LLC   2019 MO-SEC $482,650
National Beverage Corp. National Beverage Corp. beverages 2021 SEC $481,920
Investacorp Advisory Services, Inc.   2019 SEC $481,608
Penson Associates, LLC   2016 MO-SEC $480,487
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
Libero Commodities SA   2015 CFTC $480,000
4NExchange   2008 CFTC $480,000
Caledonia Investments plc   2016 FTC $480,000
UBS Financial Services Inc. UBS financial services 2015 SEC $480,000
Alpha Energy Inc. and Alliance Resources Group Inc.   2008 OR-FIN $480,000
TokenLot LLC   2018 SEC $478,929
Lightspeed Trading LLC   2014 SEC $478,216
Rockwell Asset Management, Inc.   2014 CFTC $477,210
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
First Montauk Securities Corp.   2006 NJ-AG $475,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 IN-SEC $475,000
Kestra Investment Services, LLC   2016 FINRA $475,000
Three Nines Minerals Ltd. Et al.   2013 OR-FIN $474,000
Family Benefits USA LLC   2013 OR-FIN $474,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services 2007 FINRA $473,000
Caesar Investments, LLC   2017 AZ-SEC $472,378
First Command Financial Planning, Inc.   2005 CA-DFPI $470,959
20th Century Jackson Equities, Inc.   2007 SEC $470,269
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
Yarn & Company, Inc.   2010 MD-SEC $464,333
Goelzer Investment Management, Inc.?   2013 SEC $463,793
PGS Capital Wealth Management of Sherman Oaks, California, PGS Capital Credit, Inc.   2014 CFTC $462,727
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Lasalle St. Investment Advisors, L.L.C.   2019 SEC $458,082
Ashlin Capital, LLC and Kyoto Capital Group, LLC   2007 SEC $455,700
ANS Enterprises, LLC   2014 NJ-BOS $453,138
The Davidan Corp. and Lajobejo, LLC   2015 MO-SEC $451,931
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
Signator Investors, Inc.   2015 SEC $450,000
Gabelli Funds, LLC Gamco Investors Inc. financial services 2009 SEC $450,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
AllianceBernstein, L.P. Equitable Holdings financial services 2007 SEC $450,000
Capital Analysts Incorporated   2005 SEC $450,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 NJ-AG $450,000
LPL Financial, LLC LPL Financial financial services 2018 IN-SEC $450,000
Wells Fargo Clearing Services, LLC Wells Fargo financial services 2019 MA-SEC $450,000
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
FNY Partners Fund LP   2020 CFTC $450,000
Palmer Square Capital Management LLC   2020 SEC $450,000
Interactive Brokers LLC Interactive Brokers Group financial services 2017 FINRA $450,000
IFMG Securities   2009 FINRA $450,000
SMH Capital Inc.   2008 FINRA $450,000
Advantage Capital Corp.   2005 FINRA $450,000
LINSCO/Private Ledger Corp.   2004 FINRA $450,000
PFS Investments, Inc.   2004 FINRA $450,000
Sarkauskas and Associates, Inc.   2013 SEC $449,837
Earth Explorations, LLC   2013 AZ-SEC $449,600
Vinci Partners Investimentos   2014 SEC $448,707
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc.   2009 AZ-SEC $448,043
TrendsGroup International, Inc.   2003 SEC $445,691
Riverside Lease, LLC   2016 MO-SEC $445,005
ARB Trading Group LP   2020 CFTC $445,000
Echo Canyon LLC   2012 AZ-SEC $443,709
JM Financial Institutional Securities Private Limited   2012 SEC $443,545
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Paradigm Wealth Advisory, LLC   2021 SEC $440,103
Allegheny Gulf Investments, Inc   2005 CFTC $440,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
Keybanc Capital Markets Inc. KeyCorp financial services 2016 SEC $440,000
Perceptive Advisors LLC   2009 SEC $439,755
Financial Sherpa, Inc.   2019 SEC $436,861
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.