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
Credit Suisse Securities Credit Suisse financial services 2016 NY-AG $30,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 NY-AG (*) $10,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2019 FINRA $6,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $1,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $4,500,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2014 FINRA $5,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2009 FINRA $275,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2006 FINRA $225,000
Cresap, Inc.   2004 FINRA $99,458
Crestview Capital Partners   2007 SEC $394,640
Crews & Associates, Inc.   2015 SEC $250,000
Crews and Associates, Inc.   2019 AR-SEC $5,000
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Critical Trading, LLC   2019 SEC $219,092
CRITTER CONTROL INC. Rollins Inc. miscellaneous services 2018 VA-SEC $23,500
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
Cromwell Quality Tools Company, Inc.   2010 MD-SEC $10,000
Crossfire Trading, LLC   2011 CFTC $84,000,000
Crossroads Asset Management, LLC   2015 MO-SEC $15,000
Crossroads Community Church Inc.   2020 KY-FIN $10,000
Crossroads Media, Inc.   2006 MS-SEC $25,000
CRT Enterprises, LLC and Platinum Financial Advisors, LLC and Sterling-Meridian, LLC   2007 MO-SEC $63,194
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
CRW Management LP   2011 CFTC $19,000,000
Crypto Asset Management LP   2018 SEC $200,000
Crypto Asset Management, LP   2018 SEC $200,000
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Crystal Victoria Corp. and PlatinumTech Corp.   2011 MD-SEC $100,000
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
CS Note Holdco, LLC   2010 WA-FIN $25,000
CSG Commodity Service Group   2012 CFTC $1,200,000
CSG Wealth Management   2018 GA-SEC $5,000
CSIR Group, LLC   2018 SEC $17,142
CT Equity Partners, LLC   2009 CT-SEC $5,000
CTI Group LLC and Cooper Trading   2014 CFTC $29,000,000
CTOption   2020 WI-FIN $24,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
Cumberland Revenue Drilling Fund, LLP   2015 FL-OFR $25,000
CUNA Brokerage Services Inc. CUNA Mutual financial services 2014 OK-SEC $15,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2001 FINRA $100,000
Cunningham Commodities, LLC   2016 CFTC $150,000
Cunningham Commodities, LLC   2020 CFTC $250,000
Cunningham Energy, LLC   2016 MI-SEC $20,000
Cunningham Energy, LLC   2021 SC-SEC $5,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Cuprill Wealth Coaching, LLC   2015 MO-SEC $60,000
Currency Trading Systems   2001 CFTC $1,521,000
Cushing Asset Management, LP   2018 SEC $100,000
Cuso Equities Inc.   2003 TN-SEC $5,500
CUSO Financial Services, L.P. Atria Wealth Solutions financial services 2019 SEC $296,750
Cutler Investment Counsel, LLC   2011 OR-FIN $5,000
Cutting Edge Business Services, Inc.   2019 SEC $273,336
CW Group LLC   2019 OR-FIN $5,000
CWS Capital Partners, LLC   2015 CA-DFPI $34,140
Cyber Market Group LLC   2011 CFTC $500,000
CyBerBroker, Inc.   2001 FINRA $20,000
Cygs, LLC   2017 SEC $60,879
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
Cypress Advisors   2017 SEC $35,000
Cypress Wealth Management, Inc.   2016 CFTC $430,764
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
D-Val, LLC and D-Val Construction & Real Estate Investments   2008 AR-SEC $326,000
D. Dean Hooley, II & Associates   2002 FL-OFR $15,000
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
D.A. Davidson & Co.   2016 SEC $500,000
D.A. Davidson & Co.   2019 SEC $654,276
D.A. Davidson & Co.   2010 FINRA $375,000
D.A. Davidson & Co.   2004 FINRA $150,000
D.A. Davidson and Co.   2018 VT-FIN $60,000
D.E. Frey and Company, Inc.   2000 SEC $100,000
D.E. Shaw & Co.   2013 SEC $667,492
D.E. Shaw & Co. L.P.   2012 CFTC $140,000
D.M. Keck & Company, Inc.   2007 SEC $15,000
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
Daedalus Capital, LLC   2015 IL-SEC $509,553
Daedalus Capital, LLC   2009 MO-SEC $25,350
Daekyo America, Inc.   2018 MD-SEC $15,000
DAI Securities LLC   2020 NH-BSR $5,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Dale Scott & Company, Inc.   2019 SEC $25,000
Dalton Kent Securities Group, Inc.   2001 FINRA $25,000
Damon's Restaurants, Inc.   2007 MD-SEC $10,000
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Daniel G. Falk & Associates, P.C.   2005 MD-SEC $68,800
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
Daniels Trading Group LLC   2011 CFTC $2,000,000
Darel Baer Investment Advisory LLC   2014 CA-DFPI $13,500
Dasan Zhone Solutions Inc.   2018 SEC $50,000
Data Technology Group   2002 OR-FIN $15,000
Datatex Investment Services, Inc.   2009 MO-SEC $15,000
Datek Online Brokerage Services, LLC   2001 FINRA $30,000
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.