Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Simon Greene Investment Advisory Firm   2018 IL-SEC $90,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
SilverShore Investment Group   2009 IL-SEC $5,000
Silversage Advisors   2019 SEC $342,062
Silver Star FX, LLC et al.   2019 CFTC $75,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Silver Oak Securities, Inc.   2016 CT-SEC $35,000
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Silacon Corp.   2012 MN-FIN $7,500
SII Investments, Inc.   2018 MA-SEC $50,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Signature Financial Services, Ltd.   2020 SEC $276,580
Signator Investors, Inc.   2015 SEC $450,000
Signal Securities Inc.   2000 SEC $50,000
Signal Lake Management, LLC   2018 CT-SEC $100,000
Signal Lake General Partner LLC   2018 CT-SEC $100,000
Signal Capital Management LLC   2020 WA-SEC $5,000
Sigma Planning Corp.   2019 SEC $2,546,718
Sigma Capital Management   2013 SEC $13,944,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
SIG Specialists, Inc.   2004 SEC $3,033,589
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
Sierra Financial Advisors, LLC   2010 SEC $14,599
Siebert Brandford Shank & Co., LLC   2015 SEC $240,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Sidoti & Company LLC   2017 SEC $100,000
Sica Wealth Management, LLC   2020 SEC $378,693
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications Corporation, and Wireless Cable Television of Shreveport Limited Liability Company   2001 SEC $41,727,403
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
SHK Management LLC   2013 CFTC $400,000
ShipChain, Inc.   2020 SEC $2,050,000
Shields Capital Corporation   2010 NE-DBF $5,180
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes   2015 VA-SEC $5,000
Shemano Capital Management   2005 CA-DFPI $54,250
Shelton Financial Group, Inc.   2015 SEC $190,066
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
Sharpe Signa, LLC and Haeres Capital, LLC   2015 CFTC $70,000
ShareValue, Inc.   2009 MO-SEC $9,000
Sharespost, Inc.   2012 SEC $80,000
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
Shamrock Asset Management LLC   2016 SEC $200,000
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Shaar 2, LLC   2017 MI-SEC $20,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
SFX Financial Advisory Management Enterprises, Inc.   2015 SEC $150,000
SF Investments, Inc.   2017 ME-SEC $5,000
SF Investments Inc.   2005 TN-SEC $21,325
Severns Properties, LLC and Severns Capital, LLC   2008 AZ-SEC $3,631,115
Severn Funding & Investment Ltd.   2020 MI-SEC $20,000
Service Team, Inc.   2014 CO-SEC $25,000
Service Team Inc. and Hallmark Venture Group Inc.   2017 OK-SEC $132,000
Serafino Holdings, L.L.C.   2011 NJ-AG $8,250,000
Sequoia Group, Inc.   2011 IL-SEC $11,500
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC   2015 CFTC $378,767
Sensuss, Inc.   2017 MD-SEC $85,000
SENIOR RETIREMENT SERVICES INC   2002 VA-SEC $125,250
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Senior Financial Strategies, Inc.   2011 IL-SEC $10,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Semper Capital Management, L.P.   2020 SEC $503,228
Selway Asset Management Inc.   2020 ID-SEC $10,000
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
Select Money Management, Inc.   2019 SEC $61,558
Select Asset Management LLC   2008 TX-SEC $7,500
SEI Investments Global Funds Services   2018 SEC $225,000
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
SEED Corp.   2014 AZ-SEC $2,674,654
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
Security Trust Company, N.A.   2004 SEC $1,000,000
Security Capital Research & Management Incorporated   2014 SEC $88,000
Security Asset Management, Inc. and Security Asset Capital Corp.   2001 FL-OFR $20,000
Securities Transfer Corporation   2011 SEC $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2002 FL-OFR $14,938
Securities Service Network, Inc. and SSN Advisory, Inc.   2015 MO-SEC $550,000
Securities Compliance Group, Ltd.   2018 SEC $27,655
Securities Compliance Department   2005 MO-SEC $13,298
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 MT-SEC $115,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 NE-DBF $40,000
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $150,000
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 OR-FIN $100,000
Securities America Advisors, Inc.   2020 SEC $603,776
Securities America Advisors Inc.   2018 SEC $5,828,448
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Securian Financial Services, Inc. Securian Financial financial services 2009 MO-SEC $79,445
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
Secured Financial Services, Inc.   2005 MD-SEC $17,500
Secure Solutions, LLC   2019 KY-FIN $94,326
Secure Resolutions, Inc.   2010 AZ-SEC $3,685,653
Secure Money Advisors   2020 PA-BKG $200,000
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.