Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$11,679,855,33361
Citigroup$8,176,245,73063
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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Caprock Securities Inc.   2009 TX-SEC $10,000
CapSource, Inc.   2019 MI-SEC $330,000
Capsource, Inc.   2020 MI-SEC $110,000
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC   2013 CFTC $3,500,000
Capstone Investments   2006 CA-DFPI $50,000
Captal Guardian, Inc.   2010 IL-SEC $19,000
Cardiff Lexington Corporation   2018 SEC $25,000
Career Development Services International, LLC   2018 MN-FIN $20,000
Cargile Investment Management Inc.   2019 SEC $70,140
Cargill de Mexico SA De CV Cargill agribusiness 2015 CFTC $500,000
Cargill Inc. Cargill agribusiness 2017 CFTC $10,000,000
Carhart Capital Management, LLC   2016 FL-OFR $46,500
Carlin Equities Corporation   2004 FINRA $35,000
Carlson Capital, L.P.   2010 SEC $2,653,234
Carlyle Group Carlyle Group private equity (including portfolio companies) 2009 NY-AG $20,000,000
Carmel Capital Management LLC   2021 SEC $25,000
Carolina Linkages Inc. dba Carolinks   2008 SC-SEC $100,000
Carr Miller Capital, LLC   2013 NJ-BOS $2,340,000
Carret Securities LLC   2002 ND-SEC $29,000
CarrierEQ Inc. (Airfox)   2018 SEC $250,000
CarrierEQ, Inc. dba AirFox   2018 MA-SEC $100,000
Caruba International, LLC   2005 AL-SEC $20,000
Cascade Investment Group, Inc   2021 SEC $125,000
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Cash Flow Capital, LLC   2012 MD-SEC $13,610
Cashbox Magazine Inc.   2015 SC-SEC $5,000
Casimir Capital L.P.   2009 CT-SEC $15,000
Castle Advisers, LLC   2012 OR-FIN $5,000
Castle Wealth Planning LLC   2021 SEC $25,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
Catalyst Financial Resources, LLC   2013 OR-FIN $5,000
Catamount Strategic Advisors, LLC   2017 CA-DFPI $88,511
Catharon Software Corp.   2015 AZ-SEC $5,176,559
CBIG CCS, LLC   2019 MI-SEC $20,000
CBIG CCS, LLC   2020 MI-SEC $20,000
CCM Management Group, LLC   2014 CA-DFPI $10,500
CCO Investment Services Corp. NatWest Group PLC financial services 2007 NH-BSR $375,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
CCRP Investments LLC   2016 MO-SEC $139,269
CDH & Affiliates, Inc.   2004 SEC $4,317,616
CDH Forex Investments, LLC and CDH Global Holdings LLC   2012 CFTC $5,400,000
CE Capital Limited aka CE Capital Ltd.   2018 CT-SEC $100,000
Celadon Financial Group LLC   2020 SEC $125,000
Celebration Financial, Inc. and Funding Advisors, Inc.   2009 MD-SEC $20,000
Celebrity Resorts and Casinos, Inc.   2004 SEC $347,250
Cellairis Franchise, Inc.   2010 VA-SEC $20,000
Centaur Management Co. LLC   2012 SEC $364,322
Centaurus Financial, Inc.   2009 FINRA $175,000
Centaurus Financial, Inc.   2021 SEC $1,281,396
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
Central Missouri Commodities, Inc.   2008 MO-SEC $65,000
Central Missouri Energy, LLC   2016 MO-SEC $314,940
Central States Capital Markets, LLC   2015 SEC $60,000
Central States Capital Markets, LLC   2016 SEC $374,827
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Centre Partners Management, LLC   2017 SEC $50,000
Centurion Asset Management, Inc.   2011 CFTC $49,700,000
Centurion Global Capital Management LLC   2012 CFTC $360,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
Ceros Financial Services, Inc.   2017 NH-BSR $400,000
Cetera Advisor Networks LLC   2016 FINRA $750,000
Cetera Advisor Networks LLC   2015 FINRA $301,108
Cetera Advisor Networks LLC et al.   2021 SEC $300,000
Cetera Advisors LLC   2017 OR-FIN $35,000
Cetera Advisors LLC   2015 FINRA $702,622
Cetera Financial Specialists LLC   2016 FINRA $350,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Cetera Investment Services LLC   2016 MT-SEC $50,000
Cetera Investment Services LLC   2021 AR-SEC $50,000
CFG Solutions, LLC   2013 OR-FIN $30,000
CFO-5 LLC   2010 SEC $3,197,222
CGF Securities LLC   2003 ND-SEC $5,000
CGF Securities, LLC   2003 FL-OFR $7,500
CGF Securities, LLC   2003 MN-FIN $5,000
CGI Capital, Inc.   2000 SEC $25,000
Challenger Wealth Management   2020 TX-SEC $5,000
Champion Management International, LLC   2014 CFTC $2,544,722
CHANCELLORSVILLE FINANCING   2008 VA-SEC $140,000
Chandy Enterprises, LLC   2017 MD-SEC $16,500
CHANELLO'S INTERNATIONAL, INC.   2013 VA-SEC $12,500
Changes Worldwide, LLC   2017 FL-OFR $150,000
Channel Investments et al.   2011 CA-DFPI $165,000
Channing Capital Management, LLC   2019 SEC $50,000
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services 2004 FINRA $60,869
Charles Schwab & Co. Charles Schwab Corp. financial services 2014 SEC $61,800
Charles Schwab & Co. Charles Schwab Corp. financial services 2015 FINRA $2,000,000
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
Charles Schwab & Company Charles Schwab Corp. financial services 2013 FINRA $500,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services 2011 FINRA $18,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 SEC $118,000,000
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Charter Capital Management, LLC   2019 SEC $40,000
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.