Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
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
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 Asset Metals, LLC   2021 MN-FIN $10,225
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
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.