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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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
CCM Management Group, LLC   2014 CA-DBO $10,500
CCO Investment Services Corp.   2007 NH-BSR $375,000
CCRP Investments LLC   2016 MO-SEC $139,269
CDH & Affiliates, Inc.   2004 SEC $4,317,616
CDH Forex Investments, LLC and CDH Global Holdings LLC   2012 CFTC $5,400,000
CE Capital Limited aka CE Capital Ltd.   2018 CT-SEC $100,000
Celadon Financial Group LLC   2020 SEC $125,000
Celebration Financial, Inc. and Funding Advisors, Inc.   2009 MD-SEC $20,000
Celebrity Resorts and Casinos, Inc.   2004 SEC $347,250
Cellairis Franchise, Inc.   2010 VA-SEC $20,000
Centaur Management Co. LLC   2012 SEC $364,322
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
Central Missouri Commodities, Inc.   2008 MO-SEC $65,000
Central Missouri Energy, LLC   2016 MO-SEC $314,940
Central States Capital Markets, LLC   2015 SEC $60,000
Central States Capital Markets, LLC   2016 SEC $374,827
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Centre Partners Management, LLC   2017 SEC $50,000
Centurion Asset Management, Inc.   2011 CFTC $49,700,000
Centurion Global Capital Management LLC   2012 CFTC $360,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
Ceros Financial Services, Inc.   2017 NH-BSR $400,000
Cetera Advisors LLC   2017 OR-FIN $35,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Cetera Investment Services LLC   2016 MT-SEC $50,000
CFG Solutions, LLC   2013 OR-FIN $30,000
CFO-5 LLC   2010 SEC $3,197,222
CGF Securities LLC   2003 ND-SEC $5,000
CGF Securities, LLC   2003 FL-OFR $7,500
CGF Securities, LLC   2003 MN-FIN $5,000
CGI Capital, Inc.   2000 SEC $25,000
Challenger Wealth Management   2020 TX-SEC $5,000
Champion Management International, LLC   2014 CFTC $2,544,722
CHANCELLORSVILLE FINANCING   2008 VA-SEC $140,000
Chandy Enterprises, LLC   2017 MD-SEC $16,500
CHANELLO'S INTERNATIONAL, INC.   2013 VA-SEC $12,500
Changes Worldwide, LLC   2017 FL-OFR $150,000
Channel Investments et al.   2011 CA-DBO $165,000
Channing Capital Management, LLC   2019 SEC $50,000
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2014 SEC $61,800
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 SEC $118,000,000
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Charter Capital Management, LLC   2019 SEC $40,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
Check and Send, Inc.   2005 AZ-SEC $807,484
Checkmake Financial, Inc.   2006 MD-SEC $40,000
Chelsea Financial Group, LLC   2013 MD-SEC $50,000
Chelsea Financial Services   2013 MT-SEC $312,524
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Cherokee Investment Partners LLC   2018 SEC $75,000
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC   2015 SEC $100,000
CherryHomes Joint Venture   2011 CT-SEC $100,000
Chesapeake Financial Solutions, LLC   2013 MD-SEC $10,000
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
Chesterfield Mortgage Investors, Inc.   2007 WA-FIN $5,000
Chestnut Exploration Partners Inc.   2012 TX-SEC $50,000
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
Child, Van Wagoner & Bradshaw, PLLC   2015 SEC $130,506
Childcare Seekers Onestop Inc.   2006 OR-FIN $15,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC   2001 VA-SEC $161,000
China Shenghai Investment Management Limited   2014 SEC $4,300,000
China Valves Technology Inc.   2015 SEC $575,000
ChinaMedia Express Holdings   2013 SEC $41,144,082
Choice Equity   2018 SEC $2,430,850
Choice Investment Management, LLC   2016 CO-SEC $10,000
Christian Dream Builder Financial Planning, Inc.   2005 IL-SEC $30,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
CHRISTIAN WEALTH MANAGEMENT, LLC   2016 VA-SEC $60,000
Chronos Asset Management, Inc.   2008 SEC $2,176,915
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
Chum Chum Game Company   2007 WA-FIN $5,000
Church of God Foundation Inc.   2012 TN-SEC $5,050
CI FRANCHISE COMPANY, LLC   2016 VA-SEC $65,000
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Cifuentes Fund Management, LLC   2018 CFTC $2,227,120
Cifuentes Fund Management, LLC   2016 NJ-BOS $2,000,000
Cincinnati Analysts, Inc.   2014 MO-SEC $740,000
Cindium Inc. and Einstein Exchange Group Inc.   2016 CFTC $601,000
Cirrus Partners, Inc.   2014 WA-FIN $10,000
CIT Investments, Ltd.   2017 ME-SEC $50,000
Citadel Securities LLC   2017 SEC $22,600,000
Citadel Securities LLC   2018 SEC $3,500,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
CITIC Securities International Investment Management (HK) Limited   2014 SEC $6,600,000
Citigroup Citigroup financial services 2012 CFTC $525,000
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
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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.