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 Parent Parent Major Industrysort icon Year Agency Penalty Amount
AOC Securities LLC   2019 SEC $250,000
AR Capital LLC   2019 SEC $53,000,000
Bitqyck Inc.   2019 SEC $8,375,617
Branded Marketing LLC   2015 NJ-AG $13,300,000
Canaccord Genuity LLC   2019 SEC $250,000
Canary Capital Partners LLC   2006 NJ-AG $10,000,000
Dale Scott & Company, Inc.   2019 SEC $25,000
DAV/Wetherly Financial   2010 NY-AG $1,000,000
David Lerner Associates, Inc.   2017 NJ-AG $650,000
DFRF Enterprises LLC and DFRF Enterprises, LLC   2019 SEC $19,390,352
Eagle Market Makers, Inc.   2019 CFTC $350,000
Edge Trading, LLC   2017 NJ-AG $1,000,000
Elephas Investment Management Ltd.   2019 CFTC $160,000
EMS Capital LP   2019 SEC $317,415
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Equal Earth, Inc.   2019 SEC $7,655,000
Essex Futures   2019 CFTC $500,000
Everest Wealth Management, Inc.   2017 MD-AG $255,000
Extreme Energy Solutions, Inc.   2014 NJ-AG $1,100,000
Falconhead Capital   2009 NY-AG $1,300,000
Fieldstone Financial Management Group LLC   2019 SEC $1,322,971
Financial Sherpa, Inc.   2019 SEC $436,861
First Montauk Securities Corp.   2006 NJ-AG $475,000
Forstmann Little & Co.   2004 CT-AG $16,200,000
Foundations Asset Management, LLC   2019 SEC $363,947
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Garden State Securities Inc.   2017 NJ-AG $275,000
Girvin & Ferlazzo, P.C.   2008 NY-AG $500,000
GKM Newport Generation Capital Services, LLC   2010 NY-AG $1,600,000
Global Strategy Group   2010 NY-AG $2,000,000
Guaranteed Investigations, Inc.   2019 SEC $16,846
HM Capital Partners I   2009 NY-AG $1,560,000
Hogan, Sarzynski, Lynch, Surowka & DeWind LLP   2008 NY-AG $100,000
ICO Rating   2019 SEC $268,998
IFS Securities   2019 SEC $50,000
Inviva, Inc.   2004 NY-AG $5,000,000
Ivy Asset Management, LLC   2012 NY-AG $210,000,000
J.P. Turner & Company, L.L.C.   2006 NJ-AG $195,000
Korea Exchange, Inc.   2019 CFTC $150,000
Laurel Wealth Advisors, Inc.   2019 SEC $100,000
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
Levine Leichtman Capital Partners   2009 NY-AG $200,000
Lucrative Pips Corporation   2019 CFTC $2,694,799
Manatt Phelps & Phillips, LLP   2010 NY-AG $550,000
Markstone Capital Group LLC   2010 NY-AG $18,000,000
McLaughlin, Piven & Vogel   2009 DE-AG $60,000
Millennium Partners   2005 NY-AG (*) $121,400,000
Mosaic Capital, LLC   2019 SEC $250,000
Murtha Cullina LLP   2007 CT-AG $16,250,000
MVP Manager LLC   2019 SEC $249,739
Nationwide Retirement Solutions   2010 AL-AG $16,000,000
New York State United Teachers   2006 NY-AG $100,000
PA Distributors   2004 CA-AG $9,000,000
Pacific Corporate Group Holdings, LLC   2009 NY-AG $2,000,000
Patricia Lynch Associates, Inc.   2010 NY-AG $500,000
Pershing Square Capital Management   2017 MULTI-AG $145,000,000
Pilgrim Baxter & Associates, Ltd.   2004 NY-AG (*) $100,000,000
Platinum Advisors   2010 NY-AG $500,000
Quadrangle Group LLC   2010 NY-AG $7,000,000
Regal Securities   2010 NJ-AG $10,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd.,   2008 NY-AG $40,000,000
RS Investment Management L.P.   2004 NY-AG (*) $30,000,000
Saint Marketing, Inc.   2003 CO-AG $372,000
School Services of California, Inc.   2019 SEC $10,000
Serafino Holdings, L.L.C.   2011 NJ-AG $8,250,000
Spring Hill Capital Markets, LLC, et al.   2019 SEC $485,803
The Investment Center Inc.   2010 NJ-AG $75,000
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
The Options Clearing Corporation   2019 SEC $15,000,000
The Parrish Group, LLC   2019 SEC $184,767
Theglobe.com   2001 NY-AG $100,000
TherapeuticsMD Inc.   2019 SEC $200,000
Third Point LLC   2019 FTC $609,810
Town Residential   2015 NY-AG $7,500
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Vision Financial Markets LLC   2019 CFTC $200,000
WestPark Capital   2014 NJ-AG $30,000
World Interactive Gaming Corporation   2000 NY-AG $6,300,000
Zilmil, Inc.   2019 CFTC $22,854,289
Tower Research Capital LLC   2019 CFTC $67,493,849
Silver Star FX, LLC et al.   2019 CFTC $75,000
Blue Bit Banc et al.   2019 CFTC $3,346,405
XBT Corp. SARL d/b/a First Global Credit   2019 CFTC $100,000
Allied Markets, LLC   2019 CFTC $2,400,000
Omega Knight 2, LLC   2019 CFTC $15,257,028
Upstream Energy Services LLC   2019 CFTC $75,000
Treasury Vault, LLC   2019 CFTC $75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC   2019 CFTC $22,986,190
Belvedere Trading LLC   2019 CFTC $1,100,000
Classic Energy LLC   2019 CFTC $1,500,000
Intergrain S.A.   2019 CFTC $175,000
Hard Eight Futures, LLC   2019 CFTC $1,750,000
ARMKAT LLC   2019 CFTC $140,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Channing Capital Management, LLC   2019 SEC $50,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Golden California Regional Center, LLC   2019 SEC $50,295,232
Capital Source Lending LLC   2019 SEC $5,720,451
XBT Corp Sarl dba First Global Credit   2019 SEC $131,952
Northwest Biotherapeutics, Inc.   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.