Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
Omega Knight 2, LLC   2019 CFTC $15,257,028
Citigroup Global Markets, Inc. Citigroup financial services 2007 FINRA $15,200,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Goldman Sachs & Co. Goldman Sachs financial services 2016 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 SEC $15,000,000
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
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
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2015 FINRA $15,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2014 FINRA $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
David Lerner Associates, Inc.   2012 FINRA $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
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2005 FINRA $14,000,000
Robertson Stephens, Inc. Bank of America financial services 2003 FINRA (*) $14,000,000
Sigma Capital Management   2013 SEC $13,944,000
Barclays Capital, Inc. Barclays financial services 2015 FINRA $13,750,000
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
Langley Partners, North Olmsted Partners and Quantico Partners   2006 SEC $13,517,928
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 FINRA $13,500,000
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
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 FINRA $13,030,000
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
American Express Financial Advisors Ameriprise Financial financial services 2005 FINRA $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
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $12,500,000
Morgan Stanley & Co. Morgan Stanley financial services 2007 FINRA $12,500,000
Knight Securities, L.P. Virtu Financial financial services 2004 FINRA $12,500,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $12,300,000
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
UBS Securities LLC UBS financial services 2011 FINRA $12,000,000
First Command Financial Planning Inc.   2004 FINRA $12,000,000
LH Ross   2005 FINRA $11,968,000
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
LPL Financial LLC LPL Financial financial services 2015 FINRA $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
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services 2004 FINRA $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
Pruco Securities, LLC Prudential Financial financial services 2012 FINRA $11,250,000
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
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.