Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Baron Capital, Inc.   2003 SEC $2,000,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
Global Strategy Group   2010 NY-AG $2,000,000
Pacific Corporate Group Holdings, LLC   2009 NY-AG $2,000,000
Omgeo Matching Services US, LLC   2019 SEC $2,000,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $2,000,000
Citigroup Global Markets Inc. Citigroup financial services 2012 MA-SEC $2,000,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2005 MN-FIN $2,000,000
White Cedar Group, LLC   2014 NJ-BOS $2,000,000
Cifuentes Fund Management, LLC   2016 NJ-BOS $2,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
Parker Skylar &Associates, LLC   2013 AZ-SEC $1,992,000
Weiss Research, Inc   2006 SEC $1,991,141
Lazare Industries, Inc.   2008 SEC $1,975,911
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Citigroup Global Markets Inc. Citigroup financial services 2015 MULTI-FIN $1,965,000
First Allied Securities, Inc.   2010 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Deerfield Management Company   2013 SEC $1,902,224
Ribbon Communications Inc. (fka Sonus Networks) Ribbon Communications telecommunications 2018 SEC $1,900,000
Massachusetts Financial Services Company Sun Life Financial financial services 2018 SEC $1,900,000
Banco Espirito Santo, S.A. Banco Espirito Santo financial services 2011 NJ-AG $1,900,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 MULTI-FIN $1,900,000
RLGMAN Corp. and STABLE, LLC   2012 AZ-SEC $1,897,393
Banco Comercial Portugues, S.A.   2013 SEC $1,892,058
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP   2012 CFTC $1,890,000
FTN Financial Securities Corp.   2011 SEC $1,873,636
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
ProEquities, Inc. Dai-ichi Life financial services 2019 SEC $1,852,383
Ace Payday Plus, LLC   2004 SEC $1,842,133
Marchant International Resources, Inc.   2016 AZ-SEC $1,841,513
Capital Cove Bancorp LLC   2018 SEC $1,829,868
Moon River Studios, Inc.   2018 SEC $1,824,368
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Capital Analysts, LLC   2018 SEC $1,820,349
Flatiron Capital Partners, LLC and Flatiron Systems, LLC   2012 SEC $1,817,277
Geneos Wealth Management Inc.   2018 SEC $1,808,121
P-R-E, LLC dba Phoenix Renewable Energy   2013 AR-SEC $1,804,250
Arjent Capital Markets LLC and Chicago Trading Managers LLC   2013 CFTC $1,800,000
PMC Strategy, LLC   2013 CFTC $1,800,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management   2012 CFTC $1,800,000
Group One Trading, L.P.   2009 SEC $1,800,000
Victory Asset   2018 CFTC $1,800,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
Principal Securities, Inc. Principal Financial financial services 2019 SEC $1,764,624
Aristeia Capital, LLC   2011 SEC $1,762,776
The Dow Chemical Company Dow Inc. chemicals 2018 SEC $1,750,000
Hard Eight Futures, LLC   2019 CFTC $1,750,000
FuturesFX   2020 CFTC $1,750,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2011 MULTI-FIN $1,750,000
Arizona Idaho Mining, LLC   2005 ID-SEC $1,730,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Global Sports Marketing Corp.   2010 MT-SEC $1,700,242
EZTD Inc.   2016 SEC $1,700,000
Nevis Capital Management, LLC   2004 SEC $1,700,000
BlackRock Institutional Trust Company BlackRock financial services 2014 SEC $1,675,350
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
SSN Advisory, Inc.   2019 SEC $1,666,950
International Currency Exchange, Inc.   2007 CFTC $1,650,000
All Share Inc.   2015 IN-SEC $1,643,711
Unity Financial, LLC   2004 AZ-SEC $1,642,564
Commonwealth Equity Services, LLC   2019 SEC $1,637,303
North American Asset Management, LLC   2017 CFTC $1,626,189
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance financial services 2012 SEC $1,625,000
Aladdin Capital Management LLC   2012 SEC $1,618,831
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
G'ieber Financial, LLC   2008 AZ-SEC $1,609,650
Galileo Trading LLC   2016 CFTC $1,608,640
Peak Capital Management Group, Inc.   2014 CFTC $1,600,000
Yellowstone Partners, Inc.   2011 CFTC $1,600,000
National Institute Companies of America, Inc.   2004 SEC $1,600,000
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
Access Capital Partners   2009 NY-AG $1,600,000
GKM Newport Generation Capital Services, LLC   2010 NY-AG $1,600,000
Style N'Tile International   2010 MT-SEC $1,596,750
Hanson Holdings, LLC and IBS Investments, LLC   2015 MO-SEC $1,588,975
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Plein Enterprises Incorporated dba Tri-Star Realty   2011 AZ-SEC $1,586,182
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp.   2014 SEC $1,583,942
Golden State Equity Investors, Inc.   2009 SEC $1,577,579
FacePrint Global Solutions, Inc.   2008 SEC $1,573,825
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
Neofat Industries, Inc.   2014 FL-OFR $1,562,500
HM Capital Partners I   2009 NY-AG $1,560,000
Morgan Stanley Morgan Stanley financial services 2011 NJ-AG $1,560,000
Technology Communication Management, L.L.C. et al.   2012 CA-DBO $1,553,235
AMMB Consultant Sendirian Berhad   2012 SEC $1,550,000
VERITRAX CORPORATION   2011 VA-SEC $1,550,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Cocoon Trade, Inc   2009 CFTC $1,542,787
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Lek Securities Corp.   2019 SEC $1,525,892
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Currency Trading Systems   2001 CFTC $1,521,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Goldman Sachs Goldman Sachs financial services 2012 CFTC $1,500,000
Newbridge Metals, LLC   2013 CFTC $1,500,000
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
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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.