Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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 Parent Parent Major Industry Year Agency Penalty Amountsort icon
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 FINRA (*) $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 FINRA (*) $1,650,000
All Share Inc.   2015 IN-SEC $1,643,711
Unity Financial, LLC   2004 AZ-SEC $1,642,564
Commonwealth Equity Services, LLC   2019 SEC $1,637,303
North American Asset Management, LLC   2017 CFTC $1,626,189
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance financial services 2012 SEC $1,625,000
Aladdin Capital Management LLC   2012 SEC $1,618,831
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
G'ieber Financial, LLC   2008 AZ-SEC $1,609,650
Galileo Trading LLC   2016 CFTC $1,608,640
Peak Capital Management Group, Inc.   2014 CFTC $1,600,000
Yellowstone Partners, Inc.   2011 CFTC $1,600,000
National Institute Companies of America, Inc.   2004 SEC $1,600,000
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
Access Capital Partners   2009 NY-AG $1,600,000
GKM Newport Generation Capital Services, LLC   2010 NY-AG $1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FINRA $1,600,000
Style N'Tile International   2010 MT-SEC $1,596,750
Hanson Holdings, LLC and IBS Investments, LLC   2015 MO-SEC $1,588,975
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Plein Enterprises Incorporated dba Tri-Star Realty   2011 AZ-SEC $1,586,182
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp.   2014 SEC $1,583,942
Golden State Equity Investors, Inc.   2009 SEC $1,577,579
Instinet, LLC   2018 FINRA $1,575,000
FacePrint Global Solutions, Inc.   2008 SEC $1,573,825
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
Neofat Industries, Inc.   2014 FL-OFR $1,562,500
HM Capital Partners I   2009 NY-AG $1,560,000
Morgan Stanley Morgan Stanley financial services 2011 NJ-AG $1,560,000
Technology Communication Management, L.L.C. et al.   2012 CA-DFPI $1,553,235
AMMB Consultant Sendirian Berhad   2012 SEC $1,550,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
Worden Capital Management LLC   2020 FINRA $1,550,000
SG Americas Securities, LLC Societe Generale financial services 2020 FINRA $1,550,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Cocoon Trade, Inc   2009 CFTC $1,542,787
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Lek Securities Corp.   2019 SEC $1,525,892
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Currency Trading Systems   2001 CFTC $1,521,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   2005 FINRA $1,520,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Goldman Sachs Goldman Sachs financial services 2012 CFTC $1,500,000
Newbridge Metals, LLC   2013 CFTC $1,500,000
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
FCStone LLC INTL FCStone financial services 2013 CFTC $1,500,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
Advantage Futures LLC   2016 CFTC $1,500,000
McVean Trading & Investments, LLC   2017 CFTC $1,500,000
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Federated Global Investment Management Corp.   2016 SEC $1,500,000
Geneva Trading USA, LLC   2018 CFTC $1,500,000
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
Classic Energy LLC   2019 CFTC $1,500,000
Phillip Capital Inc.   2019 CFTC $1,500,000
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Nelson Finance, Inc. et al.   2005 MD-SEC $1,500,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC   2014 MD-SEC $1,500,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
Fulton Financial Corporation Fulton Financial financial services 2020 SEC $1,500,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 FINRA $1,500,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2016 FINRA $1,500,000
Brookville Capital Partners LLC   2015 FINRA $1,500,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
HSBC Securities (USA) HSBC financial services 2010 FINRA $1,500,000
Mutual Service Corporation   2009 FINRA $1,500,000
ING Funds Distributor Voya Financial financial services 2005 FINRA $1,500,000
McDonald Investments Inc.   2005 FINRA $1,500,000
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
Worldco LLC   2004 FINRA $1,500,000
Knight Securities L.P. Virtu Financial financial services 2002 FINRA $1,500,000
Hope Advisors, LLC   2018 SEC $1,487,235
Wright Time Capital Group LLC   2018 CFTC $1,485,000
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
VCAP Securities   2015 SEC $1,477,332
Founders Financial Securities, LLC   2019 SEC $1,475,465
Instinet, LLC and INET ATS, Inc.   2005 FINRA $1,475,000
Wealth Management LLC   2010 SEC $1,471,002
My Global Leverage, LLC   2016 CFTC $1,465,528
International Air Medical Services, Inc.   2013 AZ-SEC $1,456,300
Norstreet Portfolio, LLC   2010 AZ-SEC $1,452,599
Mazuma Corporation et al.   2013 SEC $1,449,978
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
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.