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$13,535,778,962113
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2011 FINRA $5,000,000
American Fund Distributors   2008 FINRA $5,000,000
USAllianz Securities   2006 FINRA $5,000,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
American Funds Distributors Inc.   2006 FINRA $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 FINRA $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,000,000
Miller Tabak Roberts Securities, LLC   2004 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2004 FINRA $5,000,000
Salomon Smith Barney Morgan Stanley financial services 2002 FINRA $5,000,000
Flakeboard America Limited AntarChile diversified 2014 DOJ_ANTITRUST $4,950,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $4,950,000
PlexCorps   2019 SEC $4,911,613
Merrill Lynch Bank of America financial services 2010 NJ-AG $4,871,620
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Tri-Core Companies, LLC et al.   2017 AZ-SEC $4,822,311
Delaware Asset Advisers   2012 SEC $4,814,520
Venture Capital Holdings LLC   2006 SEC $4,808,953
Summit Trading & Capital LLC   2013 CFTC $4,800,000
Total Call Group, Inc.   2012 CFTC $4,800,000
FTS Financial, Inc.   2017 CFTC $4,800,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 MS-SEC $4,743,815
Falco & Stevens, Inc.   2007 CFTC $4,724,607
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Pan American Metals of Miami and Pan American Metals of Miami Beach   2013 CFTC $4,700,000
ING Financial Partners, Inc. Voya Financial financial services 2008 IL-SEC $4,677,326
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
Klytie's Developments, Inc. et al.   2010 CO-SEC $4,667,724
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
MJG Enterprises, Inc. dba Mike's Lock Club   2010 AZ-SEC $4,609,627
International Foreign Currency   2012 CFTC $4,600,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2019 FINRA $4,600,000
Kelly's Mobile Home Sales, Inc.   2008 AZ-SEC $4,592,939
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Haidar Capital Management, LLC   2007 SEC $4,580,000
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
VOYA Financial Advisors Inc. Voya Financial financial services 2016 FINRA $4,550,000
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
New York Stock Exchange IntercontinentalExchange Group financial services 2014 SEC $4,500,000
First Capital Savings and Loan   2011 CFTC $4,500,000
William Blair & Company, L.L.C.   2017 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
Acuity Lending Corporation   2013 OR-FIN $4,500,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $4,500,000
Wachovia Securities Wells Fargo financial services 2009 FINRA $4,500,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Tower Square Securities   2002 FINRA $4,500,000
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
SG Americas Securities, LLC Societe Generale financial services 2005 FINRA $4,478,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Marbury Advisors Inc.   2017 CFTC $4,441,652
First Chicago Capital Markets, Inc.   2000 FINRA $4,420,000
One Vision Children's Foundation, Inc.   2003 AZ-SEC $4,407,140
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
Trickling Springs Creamery, LLC   2020 PA-BKG $4,375,000
Red Mountain Funding, Inc.   2015 AZ-SEC $4,344,885
CDH & Affiliates, Inc.   2004 SEC $4,317,616
China Shenghai Investment Management Limited   2014 SEC $4,300,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Metropolitan Investment Securities, Inc.   2003 FINRA $4,300,000
Hughes Energy Inc.   2009 USAO $4,261,211
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Verto Capital Management   2017 SEC $4,158,517
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Fremont Investment Advisors   2004 SEC $4,146,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Milan Group Inc.   2013 SEC $4,141,148
Global Corporate Strategies LLC   2019 SEC $4,120,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Investment Placement Group   2011 SEC $4,072,027
H.D. Vest Investment Services   2005 FINRA $4,015,000
KA Investments, Inc.   2018 ID-SEC $4,011,806
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Invers Forex, LLC   2012 CFTC $4,000,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Hazan Capital Management LLC   2009 SEC $4,000,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
New York Mercantile Exchange (NYMEX)   2020 CFTC $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services 2016 FINRA $4,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2014 FINRA $4,000,000
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(*): 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.