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 Agencysort icon Penalty Amount
Yes Entertainment, LLC   2000 SEC $14,546,808
First Paragon, Inc.   2000 SEC $1,040,000
EquityAlert.com, Inc.   2000 SEC $20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
JW Charles Financial Services, Inc.   2000 SEC $20,000
Millennium Software Solutions, Inc.   2000 SEC $760,450
New Concepts, L.L.C.   2000 SEC $20,000
Liberty Capital Group, Inc.   2000 SEC $35,000
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs financial services 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
William R. Hough & Co.   2000 SEC $3,264,000
Prime Atlantic, Inc.   2000 SEC $12,682,820
DynamicDaytrader.com   2000 SEC $55,107
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Robert W. Baird & Co.   2016 SEC $250,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Forcerank LLC   2016 SEC $50,000
Artis Capital Management   2016 SEC $8,878,015
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
EZTD Inc.   2016 SEC $1,700,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
Equidate Inc.   2016 SEC $80,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Adams Capital Management   2017 SEC $45,000
Aisling Capital   2017 SEC $70,456
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Alta Communications   2017 SEC $35,000
Commonwealth Venture Management Corporation   2017 SEC $75,000
Cypress Advisors   2017 SEC $35,000
FFL Partners   2017 SEC $75,000
Lime Rock Management   2017 SEC $75,000
NGN Capital   2017 SEC $100,000
Pershing Square Capital Management   2017 SEC $75,000
The Banc Funds Company   2017 SEC $75,000
Citadel Securities LLC   2017 SEC $22,600,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
ITG   2017 SEC $24,400,000
Port Authority of New York and New Jersey   2017 SEC $400,000
Interinvest Corporation   2016 SEC $6,900,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
AMG Energy, LLC and R. Thomas?& Co., LLC   2017 SEC $150,000
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Sidoti & Company LLC   2017 SEC $100,000
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Hold Brothers Online Investment Services, LLC   2017 SEC $707,764
TeamVinh.com LLC   2017 SEC $2,681,072
Momentum Investment Partners LLC dba Avatar Investment Management   2017 SEC $193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation   2017 SEC $50,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Verto Capital Management   2017 SEC $4,158,517
Enviso Capital LLC   2017 SEC $50,000
Ascenergy LLC   2017 SEC $6,859,690
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
7S Oil & Gas, LLC   2017 SEC $750,000
Petroforce Energy, LLC   2017 SEC $300,000
Green Tree Investment Group   2017 SEC $770,356
Millennium Management LLC   2017 SEC $630,000
Augustine Capital Management LLC   2017 SEC $878,305
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC   2017 SEC $100,937
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Credit Karma, Inc.   2018 SEC $160,000
Valor Capital Asset Management, LLC   2018 SEC $715,871
Financial Fiduciaries, LLC   2018 SEC $40,000
Equitystar Capital Management, LLC   2018 SEC $2,890,518
Dynamic Intelligence, Inc.   2018 SEC $228,552
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Americafirst Capital Management, LLC   2018 SEC $50,000
Gemini Fund Services, LLC   2018 SEC $400,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
LKL Investment Counsel LLC   2018 SEC $100,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Horter Investment Management, LLC   2017 SEC $778,804
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
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.