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
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
Bitqyck Inc.   2019 SEC $8,375,617
Petro-Suisse Ltd.   2013 SEC $8,370,000
Martin Currie   2012 SEC $8,300,000
Serafino Holdings, L.L.C.   2011 NJ-AG $8,250,000
Vericorp, Inc.   2012 CA-DFPI $8,200,000
Beam Suntory Inc. Suntory beverages 2018 SEC $8,181,838
UBS Financial Services Inc. UBS financial services 2021 SEC $8,112,174
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Latour Trading LLC   2015 SEC $8,053,439
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
New Golden Investment Group   2011 CFTC $8,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
deVere USA, Inc.   2018 SEC $8,000,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. Endurance International Group business services 2018 SEC $8,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
Applied Digital Technologies, Inc.   2012 CA-DFPI $8,000,000
Vereit, Inc. Vereit Inc. real estate 2020 SEC $8,000,000
ICE Data Pricing & Reference Data LLC   2020 SEC $8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2019 FINRA $8,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Creative Financial Funding, L.L.C. et al.   2002 AZ-SEC $7,947,777
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
ACI Inc.   2004 SEC $7,756,750
Wheat First Securities Inc.   2000 FINRA $7,730,000
Equal Earth, Inc.   2019 SEC $7,655,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Susquehanna Investment Group   2009 SEC $7,640,000
Loci Inc.   2021 SEC $7,600,000
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
RFF GP LLC and KGW Capital Management LLC   2015 CFTC $7,515,888
Navistar International Corp. Volkswagen motor vehicles 2016 SEC $7,500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 FINRA $7,500,000
Intertech Solutions, Inc.   2018 SEC $7,400,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NH-BSR $7,375,000
PNC Investments LLC PNC Financial Services financial services 2018 SEC $7,307,770
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2015 FINRA $7,300,000
Saber Funds, LLC et. al.   2015 NJ-BOS $7,282,500
Worldwide Capital, Inc.   2014 SEC $7,253,726
Atlantas Group, Inc.   2016 CFTC $7,200,000
Texas Coastal Energy Company   2018 SEC $7,200,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs financial services 2009 SEC $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 FINRA $7,200,000
Morgan Stanley & Co. Morgan Stanley financial services 2009 FINRA $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2016 FINRA $7,030,000
Goldman Sachs & Co. Goldman Sachs financial services 2015 SEC $7,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs financial services 2012 CFTC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 SEC $7,000,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
Quadrangle Group LLC   2010 NY-AG $7,000,000
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
ING America Insurance Holdings Inc. Voya Financial financial services 2006 FINRA $7,000,000
Momentus Inc.   2021 SEC $7,000,000
Verdugo Gift Company   2021 AZ-SEC $6,988,143
Martin & Griffin, LLC   2003 AZ-SEC $6,982,222
Integra Capital Management, LLC   2011 CFTC $6,900,000
Interinvest Corporation   2016 SEC $6,900,000
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
Ascenergy LLC   2017 SEC $6,859,690
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
Longfin Corp.   2019 SEC $6,755,848
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
Maize Capital Management, LLC and Maize Asset Management, LLC   2015 CFTC $6,702,818
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
Simpson Capital Management, Inc.   2009 SEC $6,650,000
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
John Nuveen & Co., Inc. TIAA financial services 2000 FINRA $6,630,000
CITIC Securities International Investment Management (HK) Limited   2014 SEC $6,600,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
Vision Financial Partners, LLC   2017 CFTC $6,527,130
Gateway One Lending & Finance, LLC   2021 SEC $6,513,192
THL Managers V, LLC and THL Managers VI, LLC   2018 SEC $6,506,016
8000 Inc.   2015 SEC $6,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2019 FINRA $6,500,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2013 FINRA $6,500,000
Coinbase Inc.   2021 CFTC $6,500,000
Ethiopian Electric Power   2016 SEC $6,448,854
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Republic Cash Advance, Inc. and Quick Cash Advance, Inc.   2002 AZ-SEC $6,348,492
iCapital Markets LLC   2002 SEC $6,300,000
World Interactive Gaming Corporation   2000 NY-AG $6,300,000
LPL Financial LLC LPL Financial financial services 2015 FINRA $6,300,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC   2010 AZ-SEC $6,274,453
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
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.