« Return to search form

Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$13,547,438,962115
UBS$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
China Shenghai Investment Management Limited   2014 SEC $4,300,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Metropolitan Investment Securities, Inc.   2003 FINRA $4,300,000
Hughes Energy Inc.   2009 USAO $4,261,211
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Verto Capital Management   2017 SEC $4,158,517
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Fremont Investment Advisors   2004 SEC $4,146,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Milan Group Inc.   2013 SEC $4,141,148
Global Corporate Strategies LLC   2019 SEC $4,120,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Investment Placement Group   2011 SEC $4,072,027
H.D. Vest Investment Services   2005 FINRA $4,015,000
KA Investments, Inc.   2018 ID-SEC $4,011,806
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-CC $4,007,986
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Invers Forex, LLC   2012 CFTC $4,000,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Hazan Capital Management LLC   2009 SEC $4,000,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
New York Mercantile Exchange (NYMEX)   2020 CFTC $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services 2016 FINRA $4,000,000
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
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 MA-SEC $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-CC $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
First Capital Real Estate Investments, LLC   2021 SEC $3,876,400
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-CC $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-CC $3,685,653
Locke Capital Management Inc.   2011 SEC $3,673,996
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-CC $3,668,565
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
Denari Capital, LLC   2021 CFTC $3,663,282
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-CC $3,631,115
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Nato Enterprises, LLC   2010 AZ-CC $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. TotalEnergies SE 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
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.