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$13,535,778,962113
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 Agency Penalty Amountsort icon
Hold Brothers On-Line Investment Services   2012 SEC $2,535,000
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
Worth Group Inc.   2016 CFTC $2,500,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC   2012 CFTC $2,500,000
Rosenthal Collins Group, LLC   2012 CFTC $2,500,000
Lehman Brothers, Inc. Lehman Brothers financial services 2003 SEC $2,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Louis Capital Markets, LP   2017 SEC $2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2015 MA-SEC $2,500,000
Black Diamond Capital Appreciation Fund, L.P. et al.   2015 NJ-BOS $2,500,000
Trolice Consulting Services, LLC   2016 NJ-BOS $2,500,000
Precigen, Inc. Precigen agribusiness 2020 SEC $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2017 FINRA $2,500,000
Needham & Company LLC   2014 FINRA $2,500,000
Merrill Lynch Bank of America financial services 2010 FINRA $2,500,000
SunAmerica Securities, Inc. American International Group financial services 2005 FINRA $2,500,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $2,488,000
IBC Funds, LLC   2016 SEC $2,482,850
Financial Robotics, Inc.   2014 CFTC $2,481,000
Innovative Financial Solutions, LLC et al.   2019 MO-SEC $2,466,092
First Lexington Group   2008 CFTC $2,466,063
National Financial Services LLC   2020 SEC $2,461,193
Harvard Assets LLC, London Assets Inc. , and Harvard International Trading, Inc.   2016 CFTC $2,451,568
Wise Enterprises, LLC and Wise Lending, LLC   2010 ID-SEC $2,443,637
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2014 FINRA $2,440,000
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Platforms Wireless International Corp.   2007 SEC $2,431,213
Choice Equity   2018 SEC $2,430,850
Assisted Living Development Company, Inc. et al.   2011 AZ-SEC $2,410,895
Gelfman Blueprint, Inc.   2018 CFTC $2,408,734
Paramount Management, LLC   2013 CFTC $2,400,000
GID Group, Inc.   2013 CFTC $2,400,000
Allied Markets, LLC   2019 CFTC $2,400,000
Linsco/Private Ledger Corporation   2005 FINRA $2,400,000
FSC Securities Corp.   2005 FINRA $2,400,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $2,400,000
Piper Jaffray & Co. Piper Sandler financial services 2004 FINRA $2,400,000
Bill Few Associates Inc.   2019 SEC $2,398,304
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
MAG T, Inc.   2012 AZ-SEC $2,370,455
UBS Financial Services UBS financial services 2012 FINRA $2,354,584
Carr Miller Capital, LLC   2013 NJ-BOS $2,340,000
Hancock Whitney Investment Services, Inc.   2020 SEC $2,337,792
Legg Mason Wood Walker, Inc. Franklin Resources financial services 2004 SEC $2,315,467
Lincolnshire Management   2014 SEC $2,300,000
211 Ventures LLC   2013 SEC $2,300,000
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
Amerisave Mortgage Corporation AmeriSave Mortgage financial services 2013 MULTI-FIN $2,300,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2001 FINRA $2,300,000
Global Strategic Marketing, Inc.   2014 CFTC $2,292,798
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc. Nordstrom retailing 2014 AZ-SEC $2,263,142
Theodore J. Hogan & Associates, LLC   2011 AZ-SEC $2,253,310
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Clean Energy Capital, LLC   2014 SEC $2,246,030
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
The Alista Group, LLC   2021 CFTC $2,242,162
Linsco/Private Ledger Corp.   2004 SEC $2,232,805
Cifuentes Fund Management, LLC   2018 CFTC $2,227,120
Global Precious Metals Trading Company   2013 CFTC $2,200,000
Alliance Development Company   2008 CFTC $2,200,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 FINRA $2,200,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $2,200,000
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Winning Kids Inc.   2010 SEC $2,183,964
Paradigm Capital Management, Inc.   2014 SEC $2,181,771
Chronos Asset Management, Inc.   2008 SEC $2,176,915
Performance Specialist Group LLC   2004 SEC $2,171,932
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2012 FINRA $2,146,431
Brookside Capital, LLC   2011 SEC $2,124,079
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 MO-SEC $2,121,579
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 FINRA $2,115,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2005 FINRA $2,108,000
The Gaming Factory, Inc.   2003 SEC $2,100,102
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
GMC Holding Corporation   2009 SEC $2,090,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2020 FINRA $2,075,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
ShipChain, Inc.   2020 SEC $2,050,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2011 FINRA $2,050,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
2 West, Inc., et al.   2016 SEC $2,025,179
TelexElectric, LLLP   2018 SEC $2,022,239
National Investment Consultants, Inc. and Pacific Best Group Ltd.   2006 CA-DFPI $2,021,500
Galleon Management, L.P.   2005 SEC $2,020,450
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
Integrowth Financial Group   2004 AZ-SEC $2,016,524
Kroll Bond Rating Agency Inc.   2020 SEC $2,010,000
AirTrac Inc.   2008 SEC $2,005,401
BAIC, Inc.   2019 AZ-SEC $2,004,649
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.