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
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Rafferty Capital Markets   2014 SEC $849,626
Regal Investment Advisors LLC   2021 SEC $846,774
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
Institutional Investors Advisory Company   2017 SEC $843,187
Concorde America, Inc.   2009 SEC $841,175
System Capital, LLC   2013 CFTC $840,000
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Investment Midwest LLC   2017 MO-SEC $836,936
Lodge Capital Group, LLC   2011 CFTC $825,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
Global Bullion Exchange, LLC   2010 MD-SEC $825,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2004 FINRA $825,000
Motilal Oswal Securities Limited   2012 SEC $821,594
Pinnacle Forex Group LLC   2014 CFTC $819,378
Kuypow, Inc. dba Mo's Properties and Investment Group   2008 AZ-SEC $819,290
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Morgan Stanley Morgan Stanley financial services 2012 FINRA $817,754
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $815,218
Ardsley Advisory Partners   2013 SEC $815,071
Hennessee Group LLC   2009 SEC $814,644
Instinet LLC   2013 SEC $813,280
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
American Insurance Services, L.L.C.   2002 AZ-SEC $810,300
Check and Send, Inc.   2005 AZ-SEC $807,484
Howard Price Wealth Management, LLC   2018 AZ-SEC $806,994
OneAmerica Securities, Inc.   2014 IN-SEC $805,000
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
eBX LLC   2012 SEC $800,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
Compass Capital Group, Inc.   2009 SEC $800,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
M.A.C. Investments, Inc. and M.A.C. Investment Sales, Inc.   2005 MD-SEC $800,000
Cormark Securities Inc.   2020 SEC $800,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
StockCross Financial Services, Inc.   2015 FINRA $800,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2014 FINRA $800,000
Guggenheim Securities, LLC   2012 FINRA $800,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2010 FINRA $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
SG Cowen, LLC Cowen Inc. financial services 2004 FINRA $800,000
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
Educators Financial Services, Inc.   2021 SEC $790,365
iPractice Group, Inc.   2018 MO-SEC $789,706
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
Orthogistic Labs, Inc. et al.   2019 MO-SEC $789,183
MiddleCove Capital, LLC   2013 SEC $788,118
Western Pacific Capital Management, LLC   2012 SEC $781,940
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
SoBell Corp.   2019 AZ-SEC $779,450
WCAS Management Corporation?   2018 SEC $778,819
Horter Investment Management, LLC   2017 SEC $778,804
INTEGRATED BROKERAGE SERVICES   2001 VA-SEC $775,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2014 FINRA $775,000
AXA Advisors, LLC Equitable Holdings financial services 2019 FINRA $772,000
Green Tree Investment Group   2017 SEC $770,356
Credit Suisse First Boston LLC Credit Suisse financial services 2004 FINRA $770,000
Welhouse & Associates, Inc.   2015 SEC $769,059
SCF Investment Advisors, Inc.   2020 SEC $767,192
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
Nu Skin Enterprises, Inc. Nu Skin Enterprises household and personal care products 2016 SEC $765,688
Monarch Capital Investment Fund, LLC   2021 MO-SEC $763,958
Millennium Software Solutions, Inc.   2000 SEC $760,450
Lanesborough Financial Group, LLC   2014 AZ-SEC $759,725
Allegis Investment Advisors, LLC   2017 ID-SEC $755,246
Grand Canyon Land Company L.L.C. et al.   2010 AZ-SEC $753,655
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 FINRA $752,686
Oakbridge Financial Services, Inc. and Private Label Money Management, Inc.   2018 MO-SEC $750,104
Uni-Pixel Inc.   2016 SEC $750,000
Long Term-Short Term Inc., d/b/a BetterTrades   2011 SEC $750,000
Forex Global Solutions Inc. and Forex Global Solutions Ltd.   2013 CFTC $750,000
Gelber Group, LLC   2013 CFTC $750,000
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
7S Oil & Gas, LLC   2017 SEC $750,000
Ark Asset Management Co., Inc.   2010 SEC $750,000
NatWest Markets Plc NatWest Group PLC financial services 2018 CFTC $750,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
Derivium Capital, LLC   2006 CA-DFPI $750,000
Edward Jones & Co. LP Jones Financial financial services 2014 NH-BSR $750,000
LPL Financial, LLC LPL Financial financial services 2015 NH-BSR $750,000
JMI Associates LLC and JB Financial Resources   2018 NJ-BOS $750,000
UVEST Financial Services Group, Inc. LPL Financial financial services 2013 MULTI-FIN $750,000
WBI Investments Inc.   2020 SEC $750,000
TradeStation Securities, Inc.   2008 FINRA $750,000
C.L. King & Associates, Inc.   2017 FINRA $750,000
LPL Financial LLC LPL Financial financial services 2016 FINRA $750,000
Cetera Advisor Networks LLC   2016 FINRA $750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 FINRA $750,000
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
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.