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$13,547,438,962115
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Monex Securities Inc.   2014 FINRA $1,275,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
iFinix Futures, Inc.   2013 CFTC $1,260,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Pishon Holding LLC   2019 CFTC $1,259,317
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Robinhood Financial, LLC Robinhood Markets financial services 2019 FINRA $1,250,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2017 FINRA $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
Citi International Financial Services LLC   2012 FINRA $1,248,000
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
MakeYourFuture, LLC   2017 CFTC $1,207,294
Summit Financial Group, Inc.   2020 SEC $1,206,882
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Whitebox Advisors   2014 SEC $1,202,924
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
CSG Commodity Service Group   2012 CFTC $1,200,000
Mid-Atlantic Financial, LLC et al.   2018 MD-SEC $1,200,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2015 FINRA $1,200,000
ING Groep N.V. Voya Financial financial services 2013 FINRA $1,200,000
MetLife Securities, Inc. MetLife financial services 2009 FINRA $1,200,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
IC Advisory Services Inc.   2019 SEC $1,195,186
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services 2013 FINRA $1,188,000
Investment Acquisitions Group LLC   2015 AZ-SEC $1,180,339
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
Negus Capital Incorporated   2021 CFTC $1,178,180
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Stafford Financial Firm   2017 MO-SEC $1,162,422
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,158,000
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
John Thomas Financial   2015 FINRA $1,147,288
American Portfolios Advisers Inc.   2018 SEC $1,145,353
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Wisteria Global, Inc.   2015 SEC $1,138,935
AXA Advisors, LLC Equitable Holdings financial services 2019 SEC $1,134,152
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
Farmington Investment Corp.   2011 MO-SEC $1,112,215
Pinnacle Companies, LLC   2019 SEC $1,112,000
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Computershare Trust Company of Canada   2006 SEC $1,101,868
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
Focus Point Solutions and The H Group   2012 SEC $1,100,000
WorldPMX, Inc.   2014 CFTC $1,100,000
PassThrough Investments, LLC   2012 CFTC $1,100,000
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Ruby Corporation   2014 SEC $1,100,000
Extreme Energy Solutions, Inc.   2014 NJ-AG $1,100,000
Belvedere Trading LLC   2019 CFTC $1,100,000
LPL Financial LLC LPL Financial financial services 2019 MA-SEC $1,100,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $1,100,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services 2009 FINRA $1,100,000
Banorte Securities International, Ltd.   2008 FINRA $1,100,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
ABS Manager   2015 SEC $1,087,648
Guardian Asset Group, LLC   2017 CFTC $1,086,033
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
Idaho Development Group, Inc.   2010 ID-SEC $1,075,980
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Merrill Lynch Bank of America financial services 2012 FINRA $1,074,200
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Strong Investment Management   2019 SEC $1,061,157
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
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(*): 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.