Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Nautilus Hyosung Holdings Inc.   2011 DOJ_ANTITRUST $200,000
Luca International Group, LLC   2016 SEC $68,300,000
Ethiopian Electric Power   2016 SEC $6,448,854
First Mortgage Corporation   2016 SEC $12,700,000
Uni-Pixel Inc.   2016 SEC $750,000
Westlands Water District   2016 SEC $125,000
Marwood Group Research LLC   2015 SEC $375,000
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
Fenway Partners LLC   2015 SEC $8,716,471
DBRS Inc.   2015 SEC $5,814,482
Premiere Power LLC   2015 SEC $2,587,523
Auriga Global Investors, Sociedad de Valores, S.A.   2015 SEC $618,401
Harvest Capital Strategies LLC   2015 SEC $84,454
Sabby Management LLC   2015 SEC $278,747
War Chest Capital Partners LLC   2015 SEC $351,818
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
Briargate Trading LLP   2015 SEC $912,842
Spencer Pharmaceutical Inc.   2015 SEC $1,000,000
Focus Media Holding Limited   2015 SEC $55,600,000
First Eagle Investment Management and FEF Distributors   2015 SEC $39,748,260
8000 Inc.   2015 SEC $6,500,000
Taberna Capital Management   2015 SEC $21,500,000
EnviraTrends, Inc.   2015 SEC $150,000
Colonial Tidewater Realty Income Partners   2015 SEC $1,319,386
ITG Inc.   2015 SEC $20,300,000
ABS Manager   2015 SEC $1,087,648
The Baker Group, LP   2015 SEC $250,000
B.C. Ziegler and Company   2015 SEC $250,000
Benchmark Securities, LLC   2015 SEC $100,000
Bernardi Securities, Inc.   2015 SEC $100,000
BOSC, Inc.   2015 SEC $250,000
Central States Capital Markets, LLC   2015 SEC $60,000
City Securities Corporation   2015 SEC $250,000
Davenport & Company LLC   2015 SEC $80,000
Dougherty & Co. LLC   2015 SEC $250,000
First National Capital Markets, Inc.   2015 SEC $100,000
George K. Baum & Company   2015 SEC $250,000
L.J. Hart and Company   2015 SEC $100,000
Loop Capital Markets, LLC   2015 SEC $60,000
Martin Nelson & Co., Inc.   2015 SEC $100,000
Merchant Capital, L.L.C.   2015 SEC $100,000
Robert W. Baird & Co. Incorporated   2015 SEC $500,000
Siebert Brandford Shank & Co., LLC   2015 SEC $240,000
Smith Hayes Financial Services Corporation   2015 SEC $40,000
Stephens Inc.   2015 SEC $400,000
Sterne, Agee & Leach, Inc.   2015 SEC $80,000
Wells Nelson & Associates, LLC   2015 SEC $100,000
William Blair & Co., L.L.C.   2015 SEC $80,000
Sand Hill Exchange   2015 SEC $20,000
China Valves Technology Inc.   2015 SEC $575,000
BioChemics Inc.   2015 SEC $17,897,887
H.D. Vest Investment Securities   2015 SEC $225,000
VCAP Securities   2015 SEC $1,477,332
F-Squared Investments   2014 SEC $35,000,000
APT MotoVox Group Inc.   2014 SEC $25,000
CoroWare Inc.   2014 SEC $25,000
ERF Wireless Inc.   2014 SEC $50,000
Green Automotive Company   2014 SEC $50,000
MineralRite Corporation   2014 SEC $25,000
Mondial Ventures Inc.   2014 SEC $50,000
Monster Arts Inc.   2014 SEC $25,000
Red Giant Entertainment Inc.   2014 SEC $25,000
Seaniemac International Ltd.   2014 SEC $50,000
Worthington Energy Inc.   2014 SEC $25,000
Hapoalim Securities USA   2014 SEC $54,000
Lebenthal & Co.   2014 SEC $54,000
National Securities Corporation   2014 SEC $60,000
Riedl First Securities Co. of Kansas   2014 SEC $130,000
OTC Solutions LLC   2014 SEC $373,239
Athena Capital Research   2014 SEC $1,000,000
Tradebot Systems Inc.   2014 SEC $50,000
Lincolnshire Management   2014 SEC $2,300,000
Strategic Capital Group LLC   2014 SEC $586,290
Latour Trading LLC   2014 SEC $16,000,000
Advent Capital Management   2014 SEC $144,128
Antipodean Advisors   2014 SEC $93,672
East Side Holdings II   2014 SEC $157,010
Explorador Capital Management   2014 SEC $155,658
Formula Growth   2014 SEC $111,743
Great Point Partners   2014 SEC $109,597
Indaba Capital Management   2014 SEC $304,185
Ironman Capital Management   2014 SEC $87,226
Midwood Capital Management   2014 SEC $142,947
RA Capital Management   2014 SEC $3,624,359
Rockwood Investment Management   2014 SEC $237,988
Seawolf Capital   2014 SEC $296,937
Solus Alternative Asset Management   2014 SEC $105,495
SuttonBrook Capital Management   2014 SEC $70,000
Troubh Partners   2014 SEC $408,710
Vinci Partners Investimentos   2014 SEC $448,707
Whitebox Advisors   2014 SEC $1,202,924
Advanced Cell Technology   2014 SEC $375,000
Linkbrokers Derivatives LLC   2014 SEC $14,000,000
AIC Inc.   2014 SEC $66,760,521
Liquidnet Inc.   2014 SEC $2,000,000
Rafferty Capital Markets   2014 SEC $849,626
Empire Stock Transfer Inc.   2014 SEC $50,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC   2014 SEC $12,950,000
CITIC Securities International Investment Management (HK) Limited   2014 SEC $6,600,000
China Shenghai Investment Management Limited   2014 SEC $4,300,000
Onyx Capital Advisors   2014 SEC $9,100,000
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.