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
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
Condor and Eagle, Inc., Contact Generation, Inc. and TCI   2000 FL-OFR $5,000
Conestoga Settlement Services LLC   2019 WI-FIN $300,000
Conestoga Settlement Trust et al.   2018 ID-SEC $30,000
Conestoga Trust   2017 CO-SEC $40,000
Conestoga Trust   2017 SC-SEC $30,000
Conestoga Trust   2020 MO-SEC $10,000
Congress Wealth Management LLC   2016 SEC $100,000
Connecticut Capital Markets, L.L.C.   2004 SEC $259,110
Connecticut Foreclosure Division Corp.   2013 CT-SEC $143,000
Connexus Corporation   2016 SEC $50,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc.   2010 AL-SEC $120,000
Consolidated Wealth Holdings, Inc.   2015 ID-SEC $34,325
Constant Contact, Inc. and Endurance International Group Holdings, Inc. Endurance International Group business services 2018 SEC $8,000,000
Constellation Wealth Advisors LLC   2016 SEC $100,000
Constellation Wealth Advisors LLC   2011 MT-SEC $150,000
Consulting Dynamics   2011 OR-FIN $120,000
Consulting Services Group, LLC   2015 SEC $150,000
Consulting Services Group, LLC   2007 SEC $20,000
Consultiva Internacional, Inc.   2012 SEC $35,000
Consumer Concepts Investments, Inc.   2006 MS-SEC $15,000
Continental Broker-Dealer Corp.   2004 MO-SEC $50,400
Continental Broker-Dealer Corp.   2004 TN-SEC $10,000
Continuum Financial Partners, LLC   2017 CA-DFPI $5,000
ConTXT, Inc   2021 SEC $571,153
ConvergEx Group Cowen Inc. financial services 2013 SEC $107,424,429
Cool Technologies Inc.   2018 SEC $75,000
CoolTrade, Inc.   2012 AZ-SEC $25,000
Cooper Capital, Inc.   2015 CT-SEC $10,000
Cooper Capital, Inc.   2015 NH-BSR $25,000
Cooper Financial Solutions, LLC   2014 MO-SEC $6,000
Coordinated Capital Securities, Inc.   2020 SEC $581,961
Copersucar Trading A.V.V.   2017 CFTC $300,000
COR Development Group, Inc.   2013 IL-SEC $20,000
Coral Reef Media, LLC   2015 SEC $52,395
CoreCap Investments, LLC   2018 MI-SEC $20,000
CoreFunds, Inc.   2006 MO-SEC $11,040
Corinthian Capital Group, LLC   2019 SEC $100,000
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
Cormark Securities Inc.   2020 SEC $800,000
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Cornerstone Capital Management, Inc.?   2009 SEC $335,758
Cornerstone Financial Corp. and K&B Investments, LLC   2012 MT-SEC $266,000
CORNERSTONE MINISTRIES   2007 VA-SEC $5,000
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
Cornerstone Ministries Investments, Inc.   2005 MN-FIN $8,000
Cornerstone Securities Corporation   2001 FINRA $35,000
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
Cowen and Company, LLC   2008 FINRA $150,000
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 Corporation Credit Suisse financial services 2002 FINRA (*) $50,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2001 FINRA $25,000
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 2004 FINRA $770,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services 2004 FINRA $50,000
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
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.