Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup financial services 2008 MULTI-AG $7,100,000,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
City Capital Corp.   2011 IL-SEC $10,000
City Credit Capital, (UK) Ltd.   2012 CFTC $140,000
City Escrow, Inc.   2004 WA-FIN $12,000
City National Securities   2008 FINRA $315,000
City Securities Corporation   2015 SEC $250,000
City Securities Corporation   2013 SEC $580,000
City Securities Corporation   2009 FINRA $250,000
CJB Trading, LLC and CJB Properties, LLC and CJB Homes, LLC   2019 MD-SEC $365,000
Clairmont Capitol, Inc.   2002 WA-FIN $6,000
Claritas Investments Ltd. Principal Financial financial services 2013 SEC $144,819
CLARKE ENERGY GROUP INC.   2006 VA-SEC $116,000
Classic Energy LLC   2019 CFTC $1,500,000
Clay Capital Management LLC   2012 SEC $850,000
Clayton Collateral Advisors, Inc.   2014 IL-SEC $10,000
Clean Energy Capital, LLC   2014 SEC $2,246,030
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
Clean Sweet Holdings Group, LLC   2011 IL-SEC $10,000
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Clear Scope Advisors, Inc.   2019 SEC $25,678
Clear Sky Financial, LLC   2019 VA-SEC $6,000
ClearPoint Capital Management, LLC   2016 AL-SEC $327,026
Clem Investments   2018 SD-INS $5,000
Client One Securities, LLC   2019 SEC $35,275
Close to My Heart, Inc.   2014 MT-SEC $5,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
CMA Capital Management, LLC   2012 CFTC $5,500,000
CMB Export LLC   2018 SEC $5,150,000
CMB Export, LLC   2019 IL-SEC $125,000
CMG Institutional Trading, LLC   2013 IL-SEC $10,000
CMHCEH, LLC   2008 WA-FIN $5,000
CMS Fund Advisers, Inc.   2005 SEC $115,000
CMSU & Associates, LLC and Super Model Portfolio, LLP   2009 MD-SEC $10,000
CNE Enterprises, LLC   2013 HI-SEC $630,240
Coachman Energy Partners LLC   2017 SEC $941,507
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Coastal Investment Advisors, Inc.   2019 SEC $76,144
Coastal Resources Corp.   2001 AK-DBS $50,000
Cobble Creek Group LLC   2016 PA-BKG $5,000
Cobble Creek Homes, LLC   2008 MO-SEC $42,200
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
Cocoon Trade, Inc   2009 CFTC $1,542,787
Codawn Consulting Corp., Sentinel Capital Corp.   2017 AK-DBS $125,000
COES FX Clearing, Inc.   2006 CFTC $246,601
Cogar Financial Services, Inc.   2008 CA-DFPI $1,000,000
CoinAlpha Advisors LLC   2018 SEC $50,000
Coinbase Inc.   2021 CFTC $6,500,000
Collaborative Med LLC   2012 SC-SEC $12,500
Colley Asset Management, Inc.   2005 SEC $100,000
Colonial Fund LLC and Colonial Investment Management LLC   2009 SEC $1,400,000
Colonial Tidewater Realty Income Partners   2015 SEC $1,319,386
Colorado Financial Service Corporation   2014 SEC $25,000
Columbia Financial Advisors LLC   2018 MD-SEC $20,000
Columbia Funds Series Trust   2017 CT-SEC $8,500
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
Columbia Management Investment Services Corp. Ameriprise Financial financial services 2017 SEC $250,000
Columbia River Advisors, LLC   2017 SEC $80,000
Columbus Advisory Group, Ltd.   2014 CT-SEC $5,000
Comerica Securities Comerica financial services 2015 FINRA $347,757
Comerica Securities, Inc. Comerica financial services 2015 SEC $60,000
Comerica Securities, Inc. Comerica financial services 2019 SEC $186,377
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
Comfort Dental Group, Inc.   2012 WA-FIN $7,688
Commerce Bank Capital Markets Group   2015 SEC $40,000
Commerce Brokerage Services, Inc.   2008 MO-SEC $525,000
Commercial Express, LLC and Progressive Financial, Inc.   2002 SEC $23,032,869
Commercial Hedge Services, Inc.   2007 CFTC $325,000
Commerzbank AG Commerzbank financial services 2018 CFTC $12,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   2007 CFTC $21,819,785
Commonwealth Capital Management, LLC, et al.   2015 SEC $50,000
COMMONWEALTH CHURCH FINANCE INC.   2007 VA-SEC $78,000
Commonwealth Communications Group   2001 SEC $716,516
Commonwealth Equity Services, LLC   2019 SEC $1,637,303
Commonwealth Equity Services, LLP   2007 SEC $250,000
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network   2009 SEC $100,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
Commonwealth Financial Network   2013 MA-SEC $300,000
Commonwealth Financial Network   2015 FINRA $582,521
Commonwealth Financial Network   2005 FINRA $1,400,000
Commonwealth Income & Growth Fund, Inc.   2013 SEC $367,656
Commonwealth Venture Management Corporation   2017 SEC $75,000
COMMUNICLIQUE, INC.   2018 VA-SEC $10,980,923
Compass Capital Group, Inc.   2009 SEC $800,000
Compass Energy Holdings, Inc.   2013 SC-SEC $40,000
Complete Business Solutions Group Inc. dba Par Funding   2018 PA-BKG $499,000
Complete Developments, LLC and Investment International Inc.   2013 CFTC $23,000,000
Comprehensive Capital Management Inc.   2019 SEC $93,631
Comprehensive Capital Management Inc.   2013 PA-BKG $10,000
Comprehensive Capital Management, Inc.   2013 SEC $120,000
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Computershare Trust Company of Canada   2006 SEC $1,101,868
COMTEL, INC.   2007 VA-SEC $10,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Concert Global Group Limited and Concert Wealth Management, Inc.   2016 SEC $120,000
Concord Equity Group Advisors   2008 MT-SEC $150,000
Concorde America, Inc.   2009 SEC $841,175
Concorde Investment Services, LLC   2019 NH-BSR $50,000
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
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.