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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
Ultimate Ventures, Inc.   2005 ID-SEC $2,771,378
FXDirectDealer, LLC   2013 CFTC $2,740,000
NB Alternatives Advisers LLC   2018 SEC $2,733,608
Blackbox Pulse, LLC   2019 CFTC $2,712,807
GLG Partners, LP   2007 SEC $2,703,635
Bentley Equities, LLC   2013 CFTC $2,700,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
Worldwide Entertainment, Inc.   2005 MO-SEC $2,698,892
Lucrative Pips Corporation   2019 CFTC $2,694,799
TeamVinh.com LLC   2017 SEC $2,681,072
SEED Corp.   2014 AZ-SEC $2,674,654
Sun Village Juan Dolio Associates, LLC   2010 ID-SEC $2,653,880
Carlson Capital, L.P.   2010 SEC $2,653,234
B&B Equity Group LLC et al.   2011 MO-SEC $2,650,649
Global Development & Environmental Resources, Inc.   2012 SEC $2,645,798
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 MT-SEC $2,625,000
Blackstreet Capital Management, LLC   2016 SEC $2,622,737
New England Securities Corp.   2006 SEC $2,614,865
ABM Management, Inc. et al.   2017 MO-SEC $2,605,226
TC Credit Service d/b/a Del-Mair Group   2012 CFTC $2,600,000
Crabapple Capital Group LLC   2012 CFTC $2,600,000
Prosperity Team, LLC   2012 CFTC $2,600,000
JadeFX, LTD and Jade Investments Group, LLC   2011 CFTC $2,600,000
Paramount Metals Exchange and Paramount Credit   2015 CFTC $2,595,946
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
Premiere Power LLC   2015 SEC $2,587,523
Manikay Partners   2013 SEC $2,551,791
Sigma Planning Corp.   2019 SEC $2,546,718
Champion Management International, LLC   2014 CFTC $2,544,722
BSK Enterprises, LLC   2009 AZ-SEC $2,539,225
Financial American Corp.   2010 AZ-SEC $2,536,692
Hold Brothers On-Line Investment Services   2012 SEC $2,535,000
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
E*TRADE Securities E-Trade Financial financial services 2014 SEC $2,500,000
Worth Group Inc.   2016 CFTC $2,500,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC   2012 CFTC $2,500,000
Rosenthal Collins Group, LLC   2012 CFTC $2,500,000
Lehman Brothers, Inc. Lehman Brothers financial services 2003 SEC $2,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Louis Capital Markets, LP   2017 SEC $2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2015 MA-SEC $2,500,000
Black Diamond Capital Appreciation Fund, L.P. et al.   2015 NJ-BOS $2,500,000
Trolice Consulting Services, LLC   2016 NJ-BOS $2,500,000
IBC Funds, LLC   2016 SEC $2,482,850
Financial Robotics, Inc.   2014 CFTC $2,481,000
Innovative Financial Solutions, LLC et al.   2019 MO-SEC $2,466,092
First Lexington Group   2008 CFTC $2,466,063
National Financial Services LLC   2020 SEC $2,461,193
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc.   2016 CFTC $2,451,568
Wise Enterprises, LLC and Wise Lending, LLC   2010 ID-SEC $2,443,637
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Platforms Wireless International Corp.   2007 SEC $2,431,213
Choice Equity   2018 SEC $2,430,850
Assisted Living Development Company, Inc. et al.   2011 AZ-SEC $2,410,895
Gelfman Blueprint, Inc.   2018 CFTC $2,408,734
Paramount Management, LLC   2013 CFTC $2,400,000
GID Group, Inc.   2013 CFTC $2,400,000
Allied Markets, LLC   2019 CFTC $2,400,000
Bill Few Associates Inc.   2019 SEC $2,398,304
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
MAG T, Inc.   2012 AZ-SEC $2,370,455
Carr Miller Capital, LLC   2013 NJ-BOS $2,340,000
Legg Mason Wood Walker, Inc. Franklin Resources financial services 2004 SEC $2,315,467
Lincolnshire Management   2014 SEC $2,300,000
211 Ventures LLC   2013 SEC $2,300,000
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
Amerisave Mortgage Corporation AmeriSave Mortgage financial services 2013 MULTI-FIN $2,300,000
Global Strategic Marketing, Inc.   2014 CFTC $2,292,798
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc. Nordstrom retailing 2014 AZ-SEC $2,263,142
Theodore J. Hogan & Associates, LLC   2011 AZ-SEC $2,253,310
Clean Energy Capital, LLC   2014 SEC $2,246,030
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
Linsco/Private Ledger Corp.   2004 SEC $2,232,805
Cifuentes Fund Management, LLC   2018 CFTC $2,227,120
Global Precious Metals Trading Company   2013 CFTC $2,200,000
Alliance Development Company   2008 CFTC $2,200,000
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Winning Kids Inc.   2010 SEC $2,183,964
Paradigm Capital Management, Inc.   2014 SEC $2,181,771
Chronos Asset Management, Inc.   2008 SEC $2,176,915
Performance Specialist Group LLC   2004 SEC $2,171,932
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
Brookside Capital, LLC   2011 SEC $2,124,079
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 MO-SEC $2,121,579
The Gaming Factory, Inc.   2003 SEC $2,100,102
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
GMC Holding Corporation   2009 SEC $2,090,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
2 West, Inc., et al.   2016 SEC $2,025,179
TelexElectric, LLLP   2018 SEC $2,022,239
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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.