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 Industry Year Agency Penalty Amountsort icon
LandOak Securities LLC   2011 SEC $992,140
Fontana Capital, LLC   2011 SEC $984,790
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2018 NH-BSR $983,284
Promise Land Properties, LLC   2013 AZ-SEC $983,000
SMP Bank and Epaster Investments, Ltd.   2012 CFTC $980,000
Infinex Investments, Inc.   2019 SEC $978,698
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
LPL Financial LLC LPL Financial financial services 2020 NH-BSR $976,000
Mason Investment Advisory Services, Inc   2021 SEC $975,057
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 NY-AG $975,000
LPL Financial, LLC LPL Financial financial services 2017 NJ-AG $975,000
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC   2012 CO-SEC $975,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
Gordon & Company Ltd.   2009 MD-SEC $975,000
Intercapital Partners Ltd.   2021 NJ-BOS $964,400
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 FINRA $963,534
Algointeractive Inc   2018 CFTC $962,200
Goldman, Sachs & Co. Goldman Sachs financial services 2011 NJ-AG $959,794
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 IN-SEC $950,000
First Allied Securities, Inc.   2016 FINRA $950,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services 2016 FINRA $950,000
Aegis Capital Corp.   2015 FINRA $950,000
LPL Financial LLC LPL Financial financial services 2014 FINRA $950,000
Lincoln Financial Advisors Corporation Lincoln National financial services 2005 FINRA $950,000
Hudson Bay Capital Management   2013 SEC $949,453
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C.   2003 AZ-SEC $945,025
Quogue Capital LLC   2008 SEC $944,056
Intervoice   2007 SEC $942,628
Coachman Energy Partners LLC   2017 SEC $941,507
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
Robert W. Baird & Co.   2009 FINRA $934,510
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
BPU Investment Management, Inc.   2020 SEC $927,107
J.J.B. Hilliard and W.L. Lyons, LLC   2019 SEC $925,023
Foremost Trading LLC   2020 CFTC $923,013
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2013 FINRA $921,000
Cantella & Co., Inc.   2019 SEC $919,597
Massachusetts Financial Services Company Sun Life Financial financial services 2003 SEC $917,858
First New York Securities L.L.C.   2015 FINRA $916,000
Briargate Trading LLP   2015 SEC $912,842
Listo, Inc.   2005 AZ-SEC $906,875
JPMorgan Chase & Co. JPMorgan Chase financial services 2016 IN-SEC $905,000
Ross, Sinclaire & Associates, LLC   2016 SEC $903,574
Galaxy Coin, LLC   2009 ID-SEC $903,000
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
Venture Capital Investments LLC   2020 CFTC $900,604
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
Hamlin Capital Management, LLC?   2018 SEC $900,000
Argo Group International Holdings, Ltd.   2020 SEC $900,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 MI-SEC $900,000
Waddell & Reed, Inc. Macquarie financial services 2016 NH-BSR $900,000
Lek Securities Corporation   2019 FINRA $900,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
Stephens Inc.   2016 FINRA $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2009 FINRA $900,000
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
Kovack Advisors, Inc.   2019 SEC $898,781
Berkshire Hathaway Inc. Berkshire Hathaway diversified 2014 DOJ_ANTITRUST $896,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Fry Hensley and Company   2013 SEC $894,657
Deer Park Development Corp.   2015 AZ-SEC $892,630
Woodbridge Group of Companies LLC   2019 SEC $892,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Phydea Equity Fund, LLC   2008 MD-SEC $890,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Summit Brokerage Services, Inc.   2019 FINRA $880,000
Augustine Capital Management LLC   2017 SEC $878,305
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
C-Street Financial Group et al.   2011 AZ-SEC $874,260
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Vollero Beach Capital Partners   2013 SEC $864,427
RBC Capital Markets LLC Royal Bank of Canada financial services 2021 SEC $863,326
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $860,000
Aerokinetic Energy Corporation   2011 SEC $859,571
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
Intercapital Management Ltd.   2021 NJ-BOS $852,500
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Clay Capital Management LLC   2012 SEC $850,000
ACI Capital Group, L.L.C.   2012 CFTC $850,000
Basic Capital Management, Inc.   2002 SEC $850,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
NatWest Markets Plc NatWest Group PLC financial services 2019 CFTC $850,000
Harding Advisory LLC   2019 SEC $850,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2016 MO-SEC $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 FINRA $850,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
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.