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)
Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
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
International Capital Group, LLC   2015 SEC $3,170,054
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Vertical Integration Group LLC   2014 CFTC $3,120,688
Trademark Capital Management, LLC and Blue Investments, LLC   2009 AZ-SEC $3,100,880
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
SIG Specialists, Inc.   2004 SEC $3,033,589
The Princeton Partnership, LLC   2015 MO-SEC $3,016,710
ICE Futures U.S. Inc. IntercontinentalExchange Group financial services 2015 CFTC $3,000,000
Olam International Ltd. and Olam Americas Inc. Olam International agribusiness 2015 CFTC $3,000,000
Demuzio Capital Management, LLC   2012 CFTC $3,000,000
Safeguard 3030 Investment Club   2012 CFTC $3,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited   2018 CFTC $3,000,000
BGC Financial, L.P. BGC Partners financial services 2019 CFTC $3,000,000
ING Life Insurance and Annuity Company Voya Financial financial services 2006 NH-BSR $3,000,000
Pershing LLC   2014 FINRA $3,000,000
Barclays Capital Inc. Barclays financial services 2011 FINRA $3,000,000
Merrill Lynch Bank of America financial services 2011 FINRA $3,000,000
Nuveen Investments, LLC TIAA financial services 2011 FINRA $3,000,000
Phoenix Derivatives Group, LLC   2010 FINRA $3,000,000
Wells Fargo Investments Wells Fargo financial services 2005 FINRA $3,000,000
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC   2015 AZ-SEC $2,995,500
MKJJ Consulting LLC   2017 SEC $2,973,916
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Wells Fargo Investments, LLC Wells Fargo financial services 2005 FINRA $2,970,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $2,966,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Renn Capital Group, Inc.   2005 SEC $2,961,362
Macquarie Capital (USA) Inc. Macquarie financial services 2015 FINRA $2,950,000
Yucaipa Master Manager, LLC   2018 SEC $2,934,312
CAA General Partnership   2010 AZ-SEC $2,929,858
Ernst & Young LLP Ernst & Young business services 2008 SEC $2,918,987
Pursol Solar System, Inc.   2012 CA-DFPI $2,905,201
FalconStor Software, Inc.   2012 SEC $2,900,000
Forex Auto Profits, LLC   2011 CFTC $2,900,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2015 FINRA $2,900,000
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
Equitystar Capital Management, LLC   2018 SEC $2,890,518
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 SEC $2,886,677
JBW Capital LLC   2014 CFTC $2,860,000
Fiduciary Asset Management LLC   2012 SEC $2,859,858
Lazard Capital Markets LLC   2008 SEC $2,847,008
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc.   2011 CA-DFPI $2,840,868
Panther Energy Trading LLC   2013 CFTC $2,800,000
Angus Jackson, Inc.   2013 CFTC $2,800,000
Strongbow Investments GP, LLC   2010 CFTC $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 MA-AG (*) $2,800,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Offutt Group, LLC et al.   2009 MD-SEC $2,800,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 MULTI-FIN $2,800,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2014 MULTI-FIN $2,800,000
J.P. Morgan Securities JPMorgan Chase financial services 2017 FINRA $2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services 2016 FINRA $2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2012 FINRA $2,800,000
ICAP Corporates LLC TP ICAP PLC financial services 2009 FINRA $2,800,000
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
Ultimate Ventures, Inc.   2005 ID-SEC $2,771,378
LPL Financial, LLC LPL Financial financial services 2018 FINRA $2,750,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2007 FINRA $2,750,000
Neovest Inc.   2021 SEC $2,750,000
Citigroup Global Markets, Inc Citigroup financial services 2012 FINRA $2,741,489
FXDirectDealer, LLC   2013 CFTC $2,740,000
NB Alternatives Advisers LLC   2018 SEC $2,733,608
Blackbox Pulse, LLC   2019 CFTC $2,712,807
GLG Partners, LP   2007 SEC $2,703,635
Bentley Equities, LLC   2013 CFTC $2,700,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
Worldwide Entertainment, Inc.   2005 MO-SEC $2,698,892
Lucrative Pips Corporation   2019 CFTC $2,694,799
TeamVinh.com LLC   2017 SEC $2,681,072
SEED Corp.   2014 AZ-SEC $2,674,654
Sun Village Juan Dolio Associates, LLC   2010 ID-SEC $2,653,880
Carlson Capital, L.P.   2010 SEC $2,653,234
B&B Equity Group LLC et al.   2011 MO-SEC $2,650,649
Morgan Stanley & Co. Morgan Stanley financial services 2005 FINRA $2,650,000
Global Development & Environmental Resources, Inc.   2012 SEC $2,645,798
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.