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$13,424,705,23577
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
UBS AG UBS financial services 2018 CFTC $15,000,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $15,000,000
Ingram Micro Inc. HNA Group diversified 2009 SEC $15,000,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
The Options Clearing Corporation   2019 SEC $15,000,000
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
J.C. Reed & Co.   2013 SEC $14,910,003
Worldwide Commodity Corporation and South Coast Commodities, Inc.   2006 CFTC $14,700,000
Yes Entertainment, LLC   2000 SEC $14,546,808
Wells Fargo Bank, N.A. Wells Fargo financial services 2019 CFTC $14,475,000
UBS Securities LLC UBS financial services 2015 SEC $14,400,000
Bancroft Ventures Ltd.   2006 CA-DFPI $14,300,000
Well Advantage   2012 SEC $14,245,266
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
Forex Capital Markets LLC Jefferies Financial Group diversified 2011 CFTC $14,200,000
Linkbrokers Derivatives LLC   2014 SEC $14,000,000
Optiver Holding BV   2012 CFTC $14,000,000
EDGA Exchange, Inc. and EDGX Exchange, Inc.   2015 SEC $14,000,000
New York Stock Exchange IntercontinentalExchange Group financial services 2018 SEC $14,000,000
Sigma Capital Management   2013 SEC $13,944,000
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
Langley Partners, North Olmsted Partners and Quantico Partners   2006 SEC $13,517,928
Branded Marketing LLC   2015 NJ-AG $13,300,000
Success Trade Inc.   2015 DC-DISB $13,179,804
Kooima & Kaemingk Commodities, Inc.   2018 CFTC $13,170,857
Parnon Energy Inc., Arcadia Petroleum Ltd., and Arcadia Energy (Suisse) SA   2014 CFTC $13,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC   2014 SEC $12,950,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
First Mortgage Corporation   2016 SEC $12,700,000
Prime Atlantic, Inc.   2000 SEC $12,682,820
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC   2010 SEC $12,574,582
HSBC Private Bank (Suisse) HSBC financial services 2014 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MULTI-FIN (*) $12,500,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Mobile Cash Systems, LLC et al.   2001 AZ-SEC $12,192,829
International Investments Holdings Corp.   2006 CFTC $12,120,000
Baystar Capital Management LLC   2011 USAO $12,112,416
BlackRock Advisors LLC BlackRock financial services 2015 SEC $12,000,000
Liquid Capital Management, LLC   2011 CFTC $12,000,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, Inc.   2008 CFTC $12,000,000
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
First Command Financial Planning, Inc.   2004 SEC $12,000,000
Knight Capital Americas LLC Virtu Financial financial services 2013 SEC $12,000,000
Commerzbank AG Commerzbank financial services 2018 CFTC $12,000,000
ITG Inc.   2018 SEC $12,000,000
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc.   2010 CA-DFPI $11,780,076
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
Prestige Capital Advisors and D2W Capital Management   2013 CFTC $11,700,000
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
Benefit Contract Administrators, Inc. et al.   2009 VA-SEC $11,347,906
Nakami Chi Group Ministries International   2008 AZ-SEC $11,294,912
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
E-Slate, Inc.   2018 CFTC $11,183,497
ValueAct   2016 DOJ_ANTITRUST $11,000,000
Northstar International Group, Inc.   2011 CFTC $11,000,000
COMMUNICLIQUE, INC.   2018 VA-SEC $10,980,923
4X Solutions Inc.   2016 CFTC $10,980,904
Tallinex   2018 CFTC $10,971,279
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
Merrill Lynch Bank of America financial services 2015 SEC $10,900,000
Blue Bottle Limited   2007 SEC $10,846,785
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial financial services 2012 MULTI-FIN $10,641,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc.   2003 SEC $10,500,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Agra Technologies, Inc.   2007 AZ-SEC $10,417,532
Longboat Global Funds Management   2007 CFTC $10,317,183
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Visium Asset Management LP   2018 SEC $10,120,711
Barron Thomas Scottsdale, L.L.C. et al.   2010 AZ-SEC $10,051,294
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
Merrill Lynch Bank of America financial services 2016 SEC $10,000,000
Merrill Lynch Bank of America financial services 2011 SEC $10,000,000
Elite Management Holdings Corp. and MJM Enterprises LLC   2014 CFTC $10,000,000
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
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.