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
Charter Capital Management, LLC   2019 SEC $40,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $290,262
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
Chase Investment Services Corp. JPMorgan Chase financial services 2005 FINRA $60,000
Chase Investment Services Corp. JPMorgan Chase financial services 2004 FINRA $250,000
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
Chase Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
Check and Send, Inc.   2005 AZ-SEC $807,484
Checkmake Financial, Inc.   2006 MD-SEC $40,000
Chelsea Financial Group, LLC   2013 MD-SEC $50,000
Chelsea Financial Services   2013 MT-SEC $312,524
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Cherokee Investment Partners LLC   2018 SEC $75,000
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC   2015 SEC $100,000
CherryHomes Joint Venture   2011 CT-SEC $100,000
Chesapeake Financial Solutions, LLC   2013 MD-SEC $10,000
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
Chesterfield Mortgage Investors, Inc.   2007 WA-FIN $5,000
Chestnut Exploration Partners Inc.   2012 TX-SEC $50,000
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
Child, Van Wagoner & Bradshaw, PLLC   2015 SEC $130,506
Childcare Seekers Onestop Inc.   2006 OR-FIN $15,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC   2001 VA-SEC $161,000
China Shenghai Investment Management Limited   2014 SEC $4,300,000
China Valves Technology Inc.   2015 SEC $575,000
ChinaMedia Express Holdings   2013 SEC $41,144,082
Choice Equity   2018 SEC $2,430,850
Choice Investment Management, LLC   2016 CO-SEC $10,000
Choice Investments, Inc.   2000 FINRA $27,000
Christian Dream Builder Financial Planning, Inc.   2005 IL-SEC $30,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
CHRISTIAN WEALTH MANAGEMENT, LLC   2016 VA-SEC $60,000
Chronos Asset Management, Inc.   2008 SEC $2,176,915
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
Chum Chum Game Company   2007 WA-FIN $5,000
Church of God Foundation Inc.   2012 TN-SEC $5,050
CI FRANCHISE COMPANY, LLC   2016 VA-SEC $65,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $350,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2005 FINRA $40,000
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Cifuentes Fund Management, LLC   2018 CFTC $2,227,120
Cifuentes Fund Management, LLC   2016 NJ-BOS $2,000,000
Cincinnati Analysts, Inc.   2014 MO-SEC $740,000
Cindium Inc. and Einstein Exchange Group Inc.   2016 CFTC $601,000
Circle Society, Corp.   2021 CFTC $32,141,375
Cirrus Partners, Inc.   2014 WA-FIN $10,000
CIT Investments, Ltd.   2017 ME-SEC $50,000
Citadel Securities LLC   2017 SEC $22,600,000
Citadel Securities LLC   2018 SEC $3,500,000
Citi International Financial Services LLC   2012 FINRA $1,248,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
CITIC Securities International Investment Management (HK) Limited   2014 SEC $6,600,000
Citigroup Citigroup financial services 2012 CFTC $525,000
Citigroup Citigroup financial services 2012 FINRA $1,279,106
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $425,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $2,000,000
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
Citigroup Global Markets Inc. Citigroup financial services 2015 SEC $500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Citigroup Global Markets Inc. Citigroup financial services 2015 CT-SEC $35,000
Citigroup Global Markets Inc. Citigroup financial services 2012 MA-SEC $2,000,000
Citigroup Global Markets Inc. Citigroup financial services 2013 MA-SEC $30,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 NH-BSR $35,000
Citigroup Global Markets Inc. Citigroup financial services 2010 TX-SEC $130,000
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
Citigroup Global Markets Inc. Citigroup financial services 2010 MULTI-FIN (*) $100,000,000
Citigroup Global Markets Inc. Citigroup financial services 2003 MULTI-FIN (*) $150,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 MULTI-FIN $1,965,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $280,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $11,500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $2,488,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
Citigroup Global Markets Inc. Citigroup financial services 2009 FINRA $600,000
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
Citigroup Global Markets Inc. Citigroup financial services 2005 FINRA $60,000
Citigroup Global Markets Inc. Citigroup financial services 2004 FINRA $5,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services 2015 SEC $180,000,000
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.