Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Blue Bit Banc et al.   2019 CFTC $3,346,405
XBT Corp. SARL d/b/a First Global Credit   2019 CFTC $100,000
Allied Markets, LLC   2019 CFTC $2,400,000
Omega Knight 2, LLC   2019 CFTC $15,257,028
Upstream Energy Services LLC   2019 CFTC $75,000
Treasury Vault, LLC   2019 CFTC $75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC   2019 CFTC $22,986,190
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners financial services 2019 CFTC $10,000,000
Mitsubishi International Corporation Mitsubishi Group diversified 2019 CFTC $400,000
Belvedere Trading LLC   2019 CFTC $1,100,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services financial services 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
NatWest Markets Plc Royal Bank of Scotland financial services 2019 CFTC $850,000
Northern Trust Company Northern Trust financial services 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC financial services 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 CFTC $5,000,000
Classic Energy LLC   2019 CFTC $1,500,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
Intergrain S.A.   2019 CFTC $175,000
Hard Eight Futures, LLC   2019 CFTC $1,750,000
ARMKAT LLC   2019 CFTC $140,000
Heraeus Metals New York LLC Heraeus diversified 2019 CFTC $130,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
Phillip Capital Inc.   2019 CFTC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 CFTC $300,000
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Mirae Asset Daewoo Co., Ltd.   2020 CFTC $700,000
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
Gain Capital UK Limited   2020 CFTC $491,671
FuturesFX   2020 CFTC $1,750,000
Amada Capital Management LLC   2020 CFTC $596,700
Edge Financial Technologies, LLC   2020 CFTC $145,200
OANDA Corporation   2020 CFTC $500,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
New York Mercantile Exchange (NYMEX)   2020 CFTC $4,000,000
Southwest Group, LLC   2020 CFTC $75,000
Plutus Financial, Inc. d/b/a Abra   2020 CFTC $150,000
Perfection PR Firm LLC   2020 CFTC $1,296,572
Foremost Trading LLC   2020 CFTC $923,013
Cunningham Commodities, LLC   2020 CFTC $250,000
VOS Capital Management, LLC   2020 CFTC $3,813,875
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Venture Capital Investments LLC   2020 CFTC $900,604
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Morgan Stanley Capital Services LLC Morgan Stanley financial services 2020 CFTC $5,000,000
A&A Trading, Inc.   2020 CFTC $495,329
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
ARB Trading Group LP   2020 CFTC $445,000
Gain Capital Group, LLC   2020 CFTC $300,000
JPMorgan Chase & Company JPMorgan Chase financial services 2020 CFTC $920,200,000
FNY Partners Fund LP   2020 CFTC $450,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
Marex North America LLC   2020 CFTC $250,000
Marex Spectron International Limited   2020 CFTC $120,000
EOX Holdings LLC   2020 CFTC $120,000
Futures International LLC   2020 CFTC $120,000
OTC Europe LLP   2020 CFTC $120,000
Sukarne SA de CV   2020 CFTC $35,000
AG Processing Inc Ag Processing Inc. agribusiness 2021 CFTC $400,000
Southwest Services, L.L.C.   2020 CFTC $740,968
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
Saint Marketing, Inc.   2003 CO-AG $372,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 CO-SEC $259,227
Key Resource Group, LLC and Key Gas Corp. and Key Gas Holding, LLC   2007 CO-SEC $300,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
Americus Home Loans, Inc.   2009 CO-SEC $400,000
Visionary Sports Entertainment, Inc.   2009 CO-SEC $92,307
Ascension Investments, Inc.   2010 CO-SEC $92,748
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
Klytie's Developments, Inc. et al.   2010 CO-SEC $4,667,724
Epic Equitable, LLC   2011 CO-SEC $99,700
Life Enhancement Systems, LLC   2011 CO-SEC $77,543
Earth Energy Exploration, Inc.   2012 CO-SEC $414,719
DH Products, LLC   2012 CO-SEC $48,250
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC   2012 CO-SEC $975,000
James Investment Advisers, LLC   2012 CO-SEC $609,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust   2012 CO-SEC $365,252
Jelco Ventures, Inc.   2012 CO-SEC $400,000
AllianceBernstein L.P. Equitable Holdings financial services 2013 CO-SEC $20,232
Wilson Advisory Group   2013 CO-SEC $56,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
New Body MD, LLC   2014 CO-SEC $75,000
Leland Energy, Inc.   2014 CO-SEC $700,000
Service Team, Inc.   2014 CO-SEC $25,000
Hulen Holdings, Inc.   2014 CO-SEC $36,650
Talking Water, LLC et al.   2014 CO-SEC $25,000
Preferred Spectrum Investments, LLC et al.   2016 CO-SEC $25,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Lion Equity Investment Advisors   2017 CO-SEC $300,000
Walton Financial, LLC   2017 CO-SEC $150,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
High Trust Financial and Consulting, Inc.   2017 CO-SEC $150,000
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.