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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Deutsche Bank Securities Inc. Deutsche Bank financial services 2014 FINRA $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2014 FINRA $4,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2014 FINRA $4,000,000
Wells Fargo Securities, LLC Wells Fargo financial services 2014 FINRA $4,000,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
High Point Wealth Management   2018 MD-SEC $3,990,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
Fifth Street Management, LLC   2018 SEC $3,983,660
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Millenium Trading Group, LLC   2007 CFTC $3,861,516
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Direct Investment Products, Inc.   2015 CFTC $3,851,633
VOS Capital Management, LLC   2020 CFTC $3,813,875
McCall Business Group, LLC and MBG Global, LLC   2010 CFTC $3,800,000
Yankee Financial Group, Inc.   2005 FINRA $3,800,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 FINRA $3,750,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services 2007 FINRA $3,750,000
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
ACJ Capital, Inc.   2012 CFTC $3,700,000
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Secure Resolutions, Inc.   2010 AZ-SEC $3,685,653
Locke Capital Management Inc.   2011 SEC $3,673,996
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2020 FINRA $3,650,000
Mark Olsen Mining Company   2019 CFTC $3,631,280
Severns Properties, LLC and Severns Capital, LLC   2008 AZ-SEC $3,631,115
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Nato Enterprises, LLC   2010 AZ-SEC $3,625,127
RA Capital Management   2014 SEC $3,624,359
Linsco/Private Ledger Corp.   2005 FINRA $3,602,398
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
National Equity Holdings, Inc.   2013 CFTC $3,600,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2018 SEC $3,600,000
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Madigan Enterprises, Inc. et al.   2018 CFTC $3,589,913
PlanMember Securities Corporation   2019 SEC $3,550,660
5A Holdings, LLC   2018 MO-SEC $3,548,483
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings financial services 2019 SEC $3,528,377
SK Madison Commodities, LLC   2014 CFTC $3,523,846
Oxford Capital   2014 CFTC $3,519,309
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC   2013 CFTC $3,500,000
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
First Reserve Management, L.P.   2016 SEC $3,500,000
Heartland Advisors, Inc.   2008 SEC $3,500,000
Citadel Securities LLC   2018 SEC $3,500,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Fidelity Co-operative Bank   2014 MA-SEC $3,500,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services 2016 FINRA $3,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $3,500,000
Canarsie Capital, LLC   2015 SEC $3,494,938
FxTrade Financial, LLC   2007 CFTC $3,466,000
Benjamin F. Edwards & Co., Inc.   2019 SEC $3,445,264
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $3,425,000
Raymond James & Associates Inc. Raymond James Financial financial services 2000 FINRA $3,410,000
Platinum Equity Advisors, LLC   2017 SEC $3,402,132
Lansing Trade Group, LLC Lansing Trade Group financial services 2018 CFTC $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2017 FINRA $3,400,000
Hold Brothers On-Line Investment Services, LLC   2012 FINRA $3,400,000
Scottsdale Financial Funding Group, LLC   2003 AZ-SEC $3,391,570
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Global Fixed Income, LLC, et al.   2015 SEC $3,385,989
The Lighthouse Events, LLC   2020 SEC $3,381,686
Newbridge Alliance, Inc. and United States Capital Trust, LLC   2014 CFTC $3,381,179
Leland Energy et al.   2018 AZ-SEC $3,372,537
Blue Bit Banc et al.   2019 CFTC $3,346,405
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
BDL Manager LLC   2014 SEC $3,297,740
William R. Hough & Co.   2000 SEC $3,264,000
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $3,250,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2013 FINRA $3,250,000
Level Global Investors, L.P.   2011 SEC $3,244,171
Impact, Inc. et al.   2011 ID-SEC $3,238,505
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Everest Capital LLC   2020 SEC $3,208,226
GLG Partners, L.P.   2007 SEC $3,203,639
VFRS LLC   2013 CFTC $3,200,000
Wachovia Securities, LLC Wells Fargo financial services 2011 NJ-AG $3,200,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
CFO-5 LLC   2010 SEC $3,197,222
International Equity Advisors, LLC   2005 SEC $3,190,000
JGP Global Gestao de Recursos   2013 SEC $3,180,424
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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.