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
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
NPB Financial Group, LLC   2020 SEC $1,050,188
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
Team Heat, LLC   2009 AZ-SEC $1,047,931
First Heartland Consultants, Inc.   2021 SEC $1,045,528
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
First Paragon, Inc.   2000 SEC $1,040,000
Summit Financial Group, Inc.   2019 SEC $1,032,702
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
VII Peaks Capital, LLC   2021 SEC $1,030,699
Fidelity Brokerage Services LLC Fidelity Investments financial services 2015 FINRA $1,030,000
EDG Management Company, LLC   2020 SEC $1,026,642
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
Triad Advisors   2014 FINRA $1,025,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
M Holdings Securities, Inc.   2019 SEC $1,022,048
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
First Allied Securities, Inc.   2015 FINRA $1,014,647
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
Legacy Trading Co., LLC   2009 FINRA $1,007,035
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
Spencer Pharmaceutical Inc.   2015 SEC $1,000,000
Athena Capital Research   2014 SEC $1,000,000
Advanced Equities Inc   2012 SEC $1,000,000
Office Depot, Inc. Office Depot retailing 2010 SEC $1,000,000
IBFX Inc.   2016 CFTC $1,000,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
Joseph Glenn Commodities LLC and JGCF LLC   2013 CFTC $1,000,000
Virtual Vision Inc.   2012 CFTC $1,000,000
Pressio Capital Management, LP   2010 CFTC $1,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 SEC $1,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Security Trust Company, N.A.   2004 SEC $1,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Rhino Advisors Inc.   2003 SEC $1,000,000
American Life, Inc.   2016 SEC $1,000,000
Pipeline Trading Systems LLC   2011 SEC $1,000,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
IFMG Securities, Inc.   2006 SEC $1,000,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Aldus Equity   2010 NY-AG $1,000,000
DAV/Wetherly Financial   2010 NY-AG $1,000,000
Edge Trading, LLC   2017 NJ-AG $1,000,000
Northern Trust Company Northern Trust financial services 2019 CFTC $1,000,000
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Cogar Financial Services, Inc.   2008 CA-DFPI $1,000,000
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
MetLife, Inc. MetLife financial services 2018 MA-SEC $1,000,000
Diversified Marketing Consultants, Inc. et al.   2012 MD-SEC $1,000,000
New Haven Capital Holdings, L.L.C.   2014 MI-SEC $1,000,000
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
Access Capital Education & Services Co. Inc. et al.   2015 NJ-BOS $1,000,000
Hobo Prince Economic Project, LLC et al.   2012 OR-FIN $1,000,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
Strudwick & Associates, Inc.   2020 MD-SEC $1,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2012 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2011 FINRA $1,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2011 FINRA $1,000,000
Trillium Brokerage Services, LLC   2010 FINRA $1,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2009 FINRA $1,000,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2009 FINRA $1,000,000
RD Capital Group   2009 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Fiero Brothers, Inc.   2002 FINRA $1,000,000
DBRS, INC.   2021 SEC $1,000,000
Stable Road Acquisition Company   2021 SEC $1,000,000
ACI Holdings, Inc.   2007 AZ-SEC $999,763
Meroe Capital Group Ltd et al.   2021 AZ-SEC $992,980
LandOak Securities LLC   2011 SEC $992,140
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.