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)
Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
Pishon Holding LLC   2019 CFTC $1,259,317
Newport Private Capital LLC   2018 CFTC $315,000
Wright Time Capital Group LLC   2018 CFTC $1,485,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC   2018 CFTC $23,117,551
E-Slate, Inc.   2018 CFTC $11,183,497
Woodbridge Group of Companies LLC   2019 SEC $892,000
American Portfolios Advisers Inc.   2018 SEC $1,145,353
PPS Advisors Inc.   2018 SEC $706,746
Wealthfront Advisers LLC   2018 SEC $250,000
Hedgeable Inc.   2018 SEC $80,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC   2018 SEC $51,400,000
Citadel Securities LLC   2018 SEC $3,500,000
Talimco, LLC   2019 SEC $399,000
Stephens Inc.   2019 SEC $5,489,119
Select Money Management, Inc.   2019 SEC $61,558
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)   2019 SEC $43,034
M Holdings Securities, Inc.   2019 SEC $1,022,048
D.A. Davidson & Co.   2019 SEC $654,276
Trustcore Financial Services, LLC   2019 SEC $422,261
Spire Wealth Mangement, LLC   2019 SEC $594,072
Lockwood Advisors, Inc.   2019 SEC $52,187
Kestra Private Wealth Services, LLC   2019 SEC $549,003
Kestra Advisory Services, LLC   2019 SEC $6,196,279
Hazlett and Burt & Watson, Inc.   2019 SEC $123,456
Coastal Investment Advisors, Inc.   2019 SEC $76,144
Syndicated Capital, Inc.   2019 SEC $38,991
Silversage Advisors   2019 SEC $342,062
Private Portfolio, Inc.   2019 SEC $43,061
PlanMember Securities Corporation   2019 SEC $3,550,660
Popular Securities, LLC   2019 SEC $544,577
NBC Securities, Inc.   2019 SEC $426,119
Kovack Advisors, Inc.   2019 SEC $898,781
Calton & Associates, Inc.   2019 SEC $305,044
Benchmark Capital Advisors LLC   2019 SEC $45,182
Summit Financial Group, Inc.   2019 SEC $1,032,702
Northeast Asset Management, LLC   2019 SEC $150,982
EFG Asset Management (Americas) Corp.   2019 SEC $62,505
Provise Management Group, LLC   2019 SEC $297,423
MIAI, Inc.   2019 SEC $488,579
First Kentucky Securities Corporation   2019 SEC $132,651
Client One Securities, LLC   2019 SEC $35,275
National Asset Management, Inc.   2019 SEC $733,423
Investment Research Corp   2019 SEC $33,188
First National Capital Markets, Inc.   2019 SEC $138,117
Lasalle St. Investment Advisors, L.L.C.   2019 SEC $458,082
L.M. Kohn & Company   2019 SEC $586,882
Benjamin F. Edwards & Co., Inc.   2019 SEC $3,445,264
The Huntington Investment Company   2019 SEC $207,946
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Questar Asset Management, Inc.   2019 SEC $527,566
J.J.B. Hilliard and W.L. Lyons, LLC   2019 SEC $925,023
Hefren-Tilotson, Inc.   2019 SEC $371,697
Financial Management Strategies, Inc.   2019 SEC $185,083
Cambridge Investment Research Advisors, Inc.   2019 SEC $6,187,562
Blyth & Associates, Inc.   2019 SEC $103,071
Ryan Financial Advisors, Inc.   2019 SEC $258,670
Park Avenue Securities LLC   2019 SEC $564,267
Investmark Advisory Group LLC   2019 SEC $103,107
Investacorp Advisory Services, Inc.   2019 SEC $481,608
Infinex Investments, Inc.   2019 SEC $978,698
Commonwealth Equity Services, LLC   2019 SEC $1,637,303
Cantella & Co., Inc.   2019 SEC $919,597
Beacon Investment Management LLC   2019 SEC $165,848
SSN Advisory, Inc.   2019 SEC $1,666,950
SA Stone Investment Advisors Inc.   2019 SEC $687,374
First Citizens Investor Services, Inc.   2019 SEC $402,665
First Citizens Asset Management, Inc.   2019 SEC $62,418
DLL CPAS, LLC   2019 SEC $51,387
Katz, Sapper & Miller, LLP   2019 SEC $101,834
Lightyear Capital LLC   2018 SEC $400,000
BioElectronics, Corp.   2018 SEC $191,640
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Sterling Global Strategies LLC   2018 SEC $175,000
Ancora Advisors LLC   2018 SEC $100,000
NB Alternatives Advisers LLC   2018 SEC $2,733,608
Yucaipa Master Manager, LLC   2018 SEC $2,934,312
Landaas & Company   2018 SEC $598,941
Frontier Oilfield Services, Inc.   2018 SEC $25,000
CoinAlpha Advisors LLC   2018 SEC $50,000
Fifth Street Management, LLC   2018 SEC $3,983,660
Spark Trading Group LLC   2019 SEC $694,915
Blackbox Pulse, LLC   2019 CFTC $2,712,807
Mark Olsen Mining Company   2019 CFTC $3,631,280
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
Deer Park Road Management Company LP   2019 SEC $5,000,000
Wilson-Davis & Co., Inc.   2019 SEC $300,000
Corinthian Capital Group, LLC   2019 SEC $100,000
GT Advanced Technologies Inc.   2019 SEC $140,000
Charter Capital Management, LLC   2019 SEC $40,000
ZBS Group LLP   2019 SEC $48,461
Clear Scope Advisors, Inc.   2019 SEC $25,678
Mutual Coin Fund LLC   2019 SEC $10,000
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Tiber Creek Corp.   2019 SEC $209,797
39 Lispenard Project, LLC   2015 NY-AG $5,000
Access Capital Partners   2009 NY-AG $1,600,000
Account Management LLC   2019 SEC $100,000
Aldus Equity   2010 NY-AG $1,000,000
American Equity Investment Life Insurance Co.   2008 MN-AG $250,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.   2008 MN-AG $375,000
AOC Securities LLC   2019 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.