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
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
Cornerstone Ministries Investments, Inc.   2005 MN-FIN $8,000
Cornerstone Senior Planning   2006 AZ-SEC $545,000
CoroWare Inc.   2014 SEC $25,000
Corporate Architects, Inc.   2004 AZ-SEC $20,925
Corporate Executives Inc.   2007 OR-FIN $100,000
Corporate I Communications & Technology, Inc.   2017 IN-SEC $25,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Corporate Property Associates 15, Inc. and W.P. Carey & Co., LLC and Carey Financial, LLC   2012 MD-SEC $10,000
Cosas Management Group, L.L.C.   2009 AZ-SEC $1,405,366
Costa Playa Uno, LLC   2020 MD-SEC $725,000
Costa Reit Partners LLC et al.   2020 MD-SEC $8,700,000
Cotterman-Wilson CPAs, Inc   2015 SEC $36,897
Couch Oil & Gas, Inc.   2016 WA-FIN $21,500
Country Club Bank   2015 SEC $140,000
Courant Consulting Group Inc.   2001 OR-FIN $25,000
Covenant Financial Services, LLC   2017 SEC $144,845
Covenant Management Group, LLC   2013 IN-SEC $124,000
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
CR Intrinsic Investors SAC Capital financial services 2013 SEC $601,747,463
Crabapple Capital Group LLC   2012 CFTC $2,600,000
Craig Scott Capital, LLC   2016 SEC $100,000
Cranshire Capital Advisors, LLC   2015 SEC $250,000
Crawford Capital, LLC   2018 CA-DFPI $10,000
CRE Capital Corp.   2010 CFTC $25,700,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Creative Financial Funding, L.L.C. et al.   2002 AZ-SEC $7,947,777
Creative Money LLC   2017 WA-FIN $15,000
Creative Planning, Inc.   2018 SEC $200,000
Creative Wealth Strategies, Inc.   2017 MI-SEC $40,000
Creative Wealth Strategies, Inc. dba Adams-Hansen & Associates   2015 MN-FIN $15,000
Credentia Group   2013 SEC $69,204
Credit Karma, Inc.   2018 SEC $160,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2005 CFTC $85,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Credit Solution and Financial Services, Inc.   2008 MD-SEC $25,000
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
Credit Suisse First Boston Corp. Credit Suisse financial services 2002 MULTI-AG (*) $200,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 MULTI-FIN (*) $75,000,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Credit Suisse Group AG Credit Suisse financial services 2014 SEC $196,000,000
Credit Suisse Securities Credit Suisse financial services 2016 NY-AG $30,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 NY-AG (*) $10,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
Crestview Capital Partners   2007 SEC $394,640
Crews & Associates, Inc.   2015 SEC $250,000
Crews and Associates, Inc.   2019 AR-SEC $5,000
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Critical Trading, LLC   2019 SEC $219,092
CRITTER CONTROL INC.   2018 VA-SEC $23,500
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
Cromwell Quality Tools Company, Inc.   2010 MD-SEC $10,000
Crossfire Trading, LLC   2011 CFTC $84,000,000
Crossroads Asset Management, LLC   2015 MO-SEC $15,000
Crossroads Community Church Inc.   2020 KY-FIN $10,000
Crossroads Media, Inc.   2006 MS-SEC $25,000
CRT Enterprises, LLC and Platinum Financial Advisors, LLC and Sterling-Meridian, LLC   2007 MO-SEC $63,194
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
CRW Management LP   2011 CFTC $19,000,000
Crypto Asset Management LP   2018 SEC $200,000
Crypto Asset Management, LP   2018 SEC $200,000
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Crystal Victoria Corp. and PlatinumTech Corp.   2011 MD-SEC $100,000
CS Note Holdco, LLC   2010 WA-FIN $25,000
CSG Commodity Service Group   2012 CFTC $1,200,000
CSG Wealth Management   2018 GA-SEC $5,000
CSIR Group, LLC   2018 SEC $17,142
CT Equity Partners, LLC   2009 CT-SEC $5,000
CTI Group LLC and Cooper Trading   2014 CFTC $29,000,000
CTOption   2020 WI-FIN $24,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
Cumberland Revenue Drilling Fund, LLP   2015 FL-OFR $25,000
CUNA Brokerage Services Inc. CUNA Mutual financial services 2014 OK-SEC $15,000
Cunningham Commodities, LLC   2016 CFTC $150,000
Cunningham Commodities, LLC   2020 CFTC $250,000
Cunningham Energy, LLC   2016 MI-SEC $20,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Cuprill Wealth Coaching, LLC   2015 MO-SEC $60,000
Currency Trading Systems   2001 CFTC $1,521,000
Cushing Asset Management, LP   2018 SEC $100,000
Cuso Equities Inc.   2003 TN-SEC $5,500
CUSO Financial Services, L.P. Atria Wealth Solutions financial services 2019 SEC $296,750
Cutler Investment Counsel, LLC   2011 OR-FIN $5,000
Cutting Edge Business Services, Inc.   2019 SEC $273,336
CW Group LLC   2019 OR-FIN $5,000
CWS Capital Partners, LLC   2015 CA-DFPI $34,140
Cyber Market Group LLC   2011 CFTC $500,000
Cygs, LLC   2017 SEC $60,879
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
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.