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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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Keypoint Capital Management, LLC   2015 SEC $77,250
Coral Reef Media, LLC   2015 SEC $52,395
Stilwell Value LLC   2015 SEC $250,000
SMP Investments I, LLC   2015 SEC $63,750
Water Island Capital LLC   2015 SEC $50,000
Child, Van Wagoner & Bradshaw, PLLC   2015 SEC $130,506
New Line Capital, LLC   2015 SEC $25,000
Wyoming Investment Management Services, LLC   2015 SEC $10,000
International Capital Group, LLC   2015 SEC $3,170,054
First National Community Bancorp Inc   2015 SEC $175,000
Consulting Services Group, LLC   2015 SEC $150,000
Shelton Financial Group, Inc.   2015 SEC $190,066
EDGA Exchange, Inc. and EDGX Exchange, Inc.   2015 SEC $14,000,000
AMP Global Clearing LLC   2018 CFTC $100,000
Edwin Shaw LLC   2018 SEC $544,744
Dedicated Sound and Audio, Inc.   2018 SEC $250,000
Choice Equity   2018 SEC $2,430,850
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Williams Advisory Group, LLC   2018 CFTC $19,450,034
Maverick International, Inc.   2018 CFTC $8,605,274
Capital Cove Bancorp LLC   2018 SEC $1,829,868
PNC Investments LLC   2018 SEC $7,307,770
Securities America Advisors Inc.   2018 SEC $5,828,448
Geneos Wealth Management Inc.   2018 SEC $1,808,121
CSIR Group, LLC   2018 SEC $17,142
Verto Capital Management LLC   2018 SEC $620,594
Electronic Transaction Clearing Inc.   2018 SEC $80,000
Eureeca Capital SPC   2014 SEC $25,000
Clean Energy Capital, LLC   2014 SEC $2,246,030
Rothman Securities, Inc.   2014 SEC $90,000
Highland Capital Management, L.P.   2014 SEC $225,000
Colorado Financial Service Corporation   2014 SEC $25,000
Westend Capital Management, LLC   2014 SEC $150,000
Security Capital Research & Management Incorporated   2014 SEC $88,000
Willis Lease Finance Corporation   2014 SEC $150,000
Tel-Instrument Electronics Corp.   2014 SEC $75,000
Del Mar Asset Management, LP   2014 SEC $66,000
Lazarus Management Company LLC   2014 SEC $60,000
P.A.W. Capital Partners, L.P.   2014 SEC $68,000
RIMA Senvest Management, LLC   2014 SEC $68,000
Sankaty Advisors, LLC   2014 SEC $68,000
Trinad Management, LLC   2014 SEC $95,000
Ridgeback Capital Management LP   2014 SEC $104,500
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C.   2014 SEC $300,000
Monness, Crespi, Hardt & Co., Inc.   2014 SEC $150,000
The Phoenix Companies, Inc.   2014 SEC $100,000
PHL Variable Insurance Company   2014 SEC $100,000
Dominick & Dominick LLC   2014 SEC $75,000
Lakeside Capital Management, LLC   2014 SEC $590,152
Paradigm Capital Management, Inc.   2014 SEC $2,181,771
UASNM, Inc.   2014 SEC $100,000
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp.   2014 SEC $1,583,942
Ironbird Capital LLC   2014 SEC $335,435
HD Mile High Marketing, Inc.   2014 SEC $250,076
Ruby Corporation   2014 SEC $1,100,000
Lightspeed Trading LLC   2014 SEC $478,216
The Phoenix Companies, Inc.   2014 SEC $375,000
PHL Variable Insurance Company   2014 SEC $375,000
BDL Manager LLC   2014 SEC $3,297,740
Worldwide Capital, Inc.   2014 SEC $7,253,726
Axius Holdings, LLC   2014 SEC $60,881
Madigan Enterprises, Inc. et al.   2018 CFTC $3,589,913
Glencore Agriculture B.V.,   2018 CFTC $2,000,000
Securities Compliance Group, Ltd.   2018 SEC $27,655
Revolutionary Concepts, Inc.   2018 SEC $25,000
SEI Investments Global Funds Services   2018 SEC $225,000
WCAS Management Corporation?   2018 SEC $778,819
Arlington Capital Management, Inc.   2018 SEC $125,000
Jim Poe and Associates, Inc.   2013 SEC $35,000
West Coast Asset Management, Inc.   2013 SEC $56,186
John Thomas Financial Inc.   2013 SEC $500,000
Mazuma Corporation et al.   2013 SEC $1,449,978
Agamas Capital Management, LP   2013 SEC $250,000
Fry Hensley and Company   2013 SEC $894,657
Ox Trading, LLC, et al.   2013 SEC $50,000
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
Commonwealth Income & Growth Fund, Inc.   2013 SEC $367,656
Sarkauskas and Associates, Inc.   2013 SEC $449,837
North East Capital, LLC   2013 SEC $346,132
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
Goelzer Investment Management, Inc.?   2013 SEC $463,793
Comprehensive Capital Management, Inc.   2013 SEC $120,000
Rosenberg Rich Baker Berman & Company   2013 SEC $37,000
Institutional Shareholder Services Inc.   2013 SEC $300,000
Noonan Capital Management, LLC   2013 SEC $104,825
Northern Lights Compliance Services, LLC, et al.   2013 SEC $50,000
HarborLight Capital Management, LLC?   2013 SEC $270,615
Foxhall Capital Management, Inc   2013 SEC $122,430
Banco Comercial Portugues, S.A.   2013 SEC $1,892,058
Oxford Investment Partners, LLC   2013 SEC $274,295
Ardsley Advisory Partners   2013 SEC $815,071
IMC Asset Management, Inc.   2013 SEC $30,000
Egan-Jones Ratings Company   2013 SEC $30,000
MiddleCove Capital, LLC   2013 SEC $788,118
New America High Income Fund, Inc.   2012 SEC $413,399
New England Investment and Retirement Group, Inc.   2012 SEC $200,000
Aladdin Capital Management LLC   2012 SEC $1,618,831
Edelweiss Financial Services Limited   2012 SEC $568,347
JM Financial Institutional Securities Private Limited   2012 SEC $443,545
Motilal Oswal Securities Limited   2012 SEC $821,594
Ambit Capital Pvt. Ltd.   2012 SEC $30,910
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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.