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 Industrysort icon Year Agency Penalty Amount
Bayes Capital, LLC   2018 SEC $300,000
Lyxor Asset Management, Inc.   2018 SEC $500,000
Manhattan Transfer Registrar Company   2018 SEC $52,493
Winter, Kloman, Moter & Repp, S.C.   2018 SEC $33,848
Equity Services, Inc.   2009 SEC $300,000
Simpson Capital Management, Inc.   2009 SEC $6,650,000
Merriman Curhan Ford & Co.   2009 SEC $100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC   2009 SEC $395,000
Perceptive Advisors LLC   2009 SEC $439,755
First New York Securities L.L.C.   2009 SEC $69,008
GLB Trading, Inc.   2009 SEC $220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network   2009 SEC $100,000
United Global Securities, Inc.   2009 SEC $25,000
Lightspeed Trading LLC   2009 SEC $77,260
Merchant Capital, L.L.C.   2009 SEC $55,000
United Industrial Corporation   2009 SEC $337,679
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
INTECH Investment Management LLC   2009 SEC $300,000
Hennessee Group LLC   2009 SEC $814,644
Cornerstone Capital Management, Inc.?   2009 SEC $335,758
Susquehanna Investment Group   2009 SEC $7,640,000
Group One Trading, L.P.   2009 SEC $1,800,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
Diamondback Capital Management, LLC   2009 SEC $162,175
Algointeractive Inc   2018 CFTC $962,200
Gelfman Blueprint, Inc.   2018 CFTC $2,408,734
Kooima & Kaemingk Commodities, Inc.   2018 CFTC $13,170,857
Geneva Trading USA, LLC   2018 CFTC $1,500,000
Victory Asset   2018 CFTC $1,800,000
Global Asset Advisors LLC d/b/a Daniels Trading   2018 CFTC $300,000
Honouround (HK) International Trade Co. Ltd.?   2018 CFTC $300,000
Mobius Risk Group LLC   2018 CFTC $75,000
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
CarrierEQ Inc. (Airfox)   2018 SEC $250,000
Paragon Coin Inc.   2018 SEC $250,000
ITG Inc.   2018 SEC $12,000,000
CMB Export LLC   2018 SEC $5,150,000
Cardiff Lexington Corporation   2018 SEC $25,000
Cool Technologies Inc.   2018 SEC $75,000
Dasan Zhone Solutions Inc.   2018 SEC $50,000
First Hartford Corporation   2018 SEC $50,000
Infrax Systems Inc.   2018 SEC $50,000
Crypto Asset Management LP   2018 SEC $200,000
TokenLot LLC   2018 SEC $478,929
NW Capital Markets Inc.   2018 SEC $87,065
TelexElectric, LLLP   2018 SEC $2,022,239
Telex Mobile Holdings, Inc.   2018 SEC $500,870
FX & Beyond Corporation   2018 SEC $1,392,656
Hope Advisors, LLC   2018 SEC $1,487,235
WealthCFO, LLC   2018 SEC $409,405
Retirement Capital Strategies, Inc.?   2018 SEC $50,000
Pennant Management, Inc.   2018 SEC $400,000
Hudson Housing Capital LLC   2018 SEC $65,000
Lichter, Yu and Associates, Inc., et al.?   2018 SEC $64,900
Ophrys, LLC   2018 SEC $500,000
Eric Hall & Associates, LLC   2018 SEC $54,761
Creative Planning, Inc.   2018 SEC $200,000
Abtech Holdings, Inc.?   2018 SEC $133,414
Cushing Asset Management, LP   2018 SEC $100,000
Capital Analysts, LLC   2018 SEC $1,820,349
Holthouse Carlin & Van Trigt LLP?   2018 SEC $300,000
Harbour Investments, Inc.   2018 SEC $241,479
Crypto Asset Management, LP   2018 SEC $200,000
VSS Fund Management LLC   2018 SEC $200,000
Milkie/Ferguson Investments, Inc.   2008 SEC $25,000
MedCap Management & Research LLC   2008 SEC $70,632
Victoire Finance Capital LLC   2008 SEC $215,631
Sirios Capital Management, L.P.?   2008 SEC $287,058
Moon Capital Management, LP?   2008 SEC $139,071
Finance 500, Inc.   2008 SEC $345,499
Pax World Management Corp.   2008 SEC $500,000
DKR Oasis Management Company, L.P.?   2008 SEC $282,413
First Southwest Company   2008 SEC $150,000
Quogue Capital LLC   2008 SEC $944,056
vFinance Investments, Inc.   2008 SEC $26,559
First Montauk Securities Corp.   2008 SEC $100,742
Heartland Advisors, Inc.   2008 SEC $3,500,000
Chronos Asset Management, Inc.   2008 SEC $2,176,915
Park Financial Group, Inc.   2007 SEC $30,373
Founding Partners Capital Management Compan   2007 SEC $182,244
Consulting Services Group, LLC   2007 SEC $20,000
MCL Financial Group, Inc.   2007 SEC $60,000
Intervoice   2007 SEC $942,628
D.M. Keck & Company, Inc.   2007 SEC $15,000
Financial Design Associates, Inc.   2007 SEC $300,000
Folger Nolan Fleming Douglas Capital Management, Inc.   2007 SEC $244,921
Haidar Capital Management, LLC   2007 SEC $4,580,000
GLG Partners, LP   2007 SEC $2,703,635
Amaranth Advisors L.L.C.   2007 SEC $716,819
Tier One, Inc.   2007 SEC $85,500
Imperium Advisors, LLC   2007 SEC $119,964
Temple Securities, Ltd.   2007 SEC $268,346
Vertical Capital Partners, Inc.   2007 SEC $490,432
Pacific Growth Equities, LLC   2007 SEC $425,000
Kelmoore Investment Company, Inc.   2007 SEC $100,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.?   2006 SEC $495,596
Kaplan & Co., Securities, Inc.   2006 SEC $100,000
FCA Corp.   2006 SEC $25,000
Wall Street Access   2006 SEC $688,084
Cantella & Company, Inc.   2006 SEC $50,000
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.