Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
FCStone LLC INTL FCStone financial services 2013 CFTC $1,500,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
Advantage Futures LLC   2016 CFTC $1,500,000
McVean Trading & Investments, LLC   2017 CFTC $1,500,000
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Federated Global Investment Management Corp.   2016 SEC $1,500,000
Geneva Trading USA, LLC   2018 CFTC $1,500,000
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
Classic Energy LLC   2019 CFTC $1,500,000
Phillip Capital Inc.   2019 CFTC $1,500,000
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Nelson Finance, Inc. et al.   2005 MD-SEC $1,500,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC   2014 MD-SEC $1,500,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
Hope Advisors, LLC   2018 SEC $1,487,235
Wright Time Capital Group LLC   2018 CFTC $1,485,000
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
VCAP Securities   2015 SEC $1,477,332
Founders Financial Securities, LLC   2019 SEC $1,475,465
Wealth Management LLC   2010 SEC $1,471,002
My Global Leverage, LLC   2016 CFTC $1,465,528
International Air Medical Services, Inc.   2013 AZ-SEC $1,456,300
Norstreet Portfolio, LLC   2010 AZ-SEC $1,452,599
Mazuma Corporation et al.   2013 SEC $1,449,978
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
New Futures Trading International Corporation   2012 SEC $1,433,889
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
Independent Financial Group LLC   2019 SEC $1,426,150
Ecoval Dairy Trade, Inc.   2011 CFTC $1,425,000
State Bonding dba State Bonding California   2011 IN-SEC $1,425,000
LPL Financial LLC LPL Financial financial services 2015 MULTI-FIN $1,425,000
Leland Energy, Inc. et al.   2011 CA-DBO $1,417,477
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Cosas Management Group, L.L.C.   2009 AZ-SEC $1,405,366
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
Madison Dean, Inc.   2013 CFTC $1,400,000
Midway Trading Company, LLC and Conquest Investment Group, Inc.   2012 CFTC $1,400,000
JG Forex Fund   2011 CFTC $1,400,000
Colonial Fund LLC and Colonial Investment Management LLC   2009 SEC $1,400,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
The Bancorp, Inc.   2019 SEC $1,400,000
FX & Beyond Corporation   2018 SEC $1,392,656
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Harbinger Capital Partners, LLC   2012 SEC $1,378,763
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
Pacific Air Transport   2001 SEC $1,364,692
Innovative Capital Management, LLC   2008 CFTC $1,350,000
Gold Distributors, Inc.   2014 CFTC $1,349,066
Gartmore Investment Limited   2010 SEC $1,347,251
FFH Holdings, LLC   2019 MO-SEC $1,329,157
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
Fieldstone Financial Management Group LLC   2019 SEC $1,322,971
Colonial Tidewater Realty Income Partners   2015 SEC $1,319,386
Appaloosa Management L.P.   2010 SEC $1,304,523
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
J. Hansen Investments, LLC   2013 CFTC $1,300,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Falconhead Capital   2009 NY-AG $1,300,000
Meta Funding, LLC   2007 AZ-SEC $1,299,900
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
Visionary Group Holdings, Inc.   2011 CA-DBO $1,285,750
GPS Partners, LLC   2010 SEC $1,284,171
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
iFinix Futures, Inc.   2013 CFTC $1,260,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Pishon Holding LLC   2019 CFTC $1,259,317
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
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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.