Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Falconhead Capital   2009 NY-AG $1,300,000
Meta Funding, LLC   2007 AZ-SEC $1,299,900
Perfection PR Firm LLC   2020 CFTC $1,296,572
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
Visionary Group Holdings, Inc.   2011 CA-DBO $1,285,750
GPS Partners, LLC   2010 SEC $1,284,171
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
iFinix Futures, Inc.   2013 CFTC $1,260,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Pishon Holding LLC   2019 CFTC $1,259,317
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
MakeYourFuture, LLC   2017 CFTC $1,207,294
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Whitebox Advisors   2014 SEC $1,202,924
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
CSG Commodity Service Group   2012 CFTC $1,200,000
Mid-Atlantic Financial, LLC et al.   2018 MD-SEC $1,200,000
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
IC Advisory Services Inc.   2019 SEC $1,195,186
Investment Acquisitions Group LLC   2015 AZ-SEC $1,180,339
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Stafford Financial Firm   2017 MO-SEC $1,162,422
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
American Portfolios Advisers Inc.   2018 SEC $1,145,353
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Wisteria Global, Inc.   2015 SEC $1,138,935
AXA Advisors, LLC AXA financial services 2019 SEC $1,134,152
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Farmington Investment Corp.   2011 MO-SEC $1,112,215
Pinnacle Companies, LLC   2019 SEC $1,112,000
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Computershare Trust Company of Canada   2006 SEC $1,101,868
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
Focus Point Solutions and The H Group   2012 SEC $1,100,000
WorldPMX, Inc.   2014 CFTC $1,100,000
PassThrough Investments, LLC   2012 CFTC $1,100,000
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Ruby Corporation   2014 SEC $1,100,000
Extreme Energy Solutions, Inc.   2014 NJ-AG $1,100,000
Belvedere Trading LLC   2019 CFTC $1,100,000
LPL Financial LLC LPL Financial financial services 2019 MA-SEC $1,100,000
Sure Trace Security Corporation   2007 SEC $1,098,900
ABS Manager   2015 SEC $1,087,648
Guardian Asset Group, LLC   2017 CFTC $1,086,033
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
Idaho Development Group, Inc.   2010 ID-SEC $1,075,980
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Strong Investment Management   2019 SEC $1,061,157
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
NPB Financial Group, LLC   2020 SEC $1,050,188
Team Heat, LLC   2009 AZ-SEC $1,047,931
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
First Paragon, Inc.   2000 SEC $1,040,000
Summit Financial Group, Inc.   2019 SEC $1,032,702
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
M Holdings Securities, Inc.   2019 SEC $1,022,048
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
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(*): 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.