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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Freeman Capital Management, LLC   2012 OR-FIN $5,000
Fremont Investment Advisors   2004 SEC $4,146,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Friedberg Mercantile Group, Inc.   2014 CFTC $70,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
Friedman, Schnaier & Associates   2009 MN-FIN $12,000
From The Sea To You Inc.   2019 ME-SEC $66,000
Front Row Ticket Agency Inc.   2015 NH-BSR $27,500
Frontier Oilfield Services, Inc.   2018 SEC $25,000
Frontier Wealth Management, LLC   2021 SEC $658,712
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
Fry Hensley and Company   2013 SEC $894,657
FSC Securities Corp.   2000 MN-FIN $5,000
FSC Securities Corp.   2018 MT-SEC $151,000
FSC Securities Corp.   2005 FINRA $2,400,000
FSC Securities Corporation   2009 FINRA $15,000
FSG Fundraising, LLC   2016 MO-SEC $329,685
FT Interactive Data   2003 SEC $125,000
FTB Advisors, Inc.   2016 FINRA $250,000
FTN Financial Securities Corp.   2011 SEC $1,873,636
FTS Financial, Inc.   2017 CFTC $4,800,000
Fuhrmann Capital LLC   2010 IN-SEC $8,000
FULCRUM SECURITIES, LLC   2016 VA-SEC $91,954
Full Circle Strategies, Ltd.   2012 IL-SEC $20,000
Full Power Group Inc.   2001 OR-FIN $25,000
Full_Tilton Ventures, LLC   2020 WA-SEC $7,500
Fuller Capital Management   2016 TX-SEC $5,000
Fulton Financial Corporation Fulton Financial financial services 2020 SEC $1,500,000
Funding the Gap, LLC   2020 SEC $30,000
Fundraising Co-Op, Inc.   2013 CT-SEC $7,500
Funky Shark, LLC   2012 MT-SEC $30,000
Further Lane Asset Management   2013 SEC $150,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Futures International LLC   2015 CFTC $500,000
Futures International LLC   2020 CFTC $120,000
FuturesFX   2020 CFTC $1,750,000
FutureTrade Securities, L.L.C   2004 FINRA $35,000
FWG Investments LLC   2020 KY-FIN $50,000
FX & Beyond Corporation   2018 SEC $1,392,656
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Fx Trader Stock   2021 SC-INS $200,000
FX Trading, LLC   2011 CFTC $110,000
FXDirectDealer, LLC   2014 CFTC $600,000
FXDirectDealer, LLC   2013 CFTC $275,000
FXDirectDealer, LLC   2013 CFTC $2,740,000
FXOpen Investments Inc.   2012 CFTC $140,000
FxTrade Financial, LLC   2007 CFTC $3,466,000
G Asset Management, LLC   2015 SEC $175,000
G.D. Castillo M.D. Ltd. Profit Sharing Plan   2005 IL-SEC $5,000
G'ieber Financial, LLC   2008 AZ-SEC $1,609,650
G4i Capital Partners, Inc.   2015 VA-SEC $160,000
Gabelli Funds LLC Gamco Investors Inc. financial services 2008 SEC $16,000,000
Gabelli Funds, LLC Gamco Investors Inc. financial services 2009 SEC $450,000
Gage's Fertilizer & Grain, Inc.   2010 CFTC $175,000
Gain Capital Group, LLC GAIN Capital Holdings financial services 2020 CFTC $300,000
Gain Capital UK Limited   2020 CFTC $491,671
Galaxy Coin, LLC   2009 ID-SEC $903,000
Galaxy Financial Services, Inc et al.   2003 ID-SEC $209,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
Galileo Trading LLC   2016 CFTC $1,608,640
Galleon Management, L.P.   2005 SEC $2,020,450
Gamboa Capital Management Inc.   2007 TX-SEC $5,000
Game Designs LLC   2020 KY-FIN $60,000
Gant Private Financial Management   2015 PA-BKG $5,296
Garden State Securities Inc.   2017 NJ-AG $275,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
Garden State Securities, Inc.   2017 ID-SEC $10,000
Garden State Securities, Inc.   2007 ME-SEC $10,000
Garden State Securities, Inc.   2011 FINRA $300,000
Gardner Insurance Agency, Inc.   2011 AR-SEC $122,365
Garrison Investment Group LP and Garrison Capital Advisers LLC   2019 SEC $250,000
Gartmore Investment Limited   2010 SEC $1,347,251
Gary Goldberg & Co., Inc   2009 FINRA $19,500
Gateway Financial & Estate Planning, Inc.   2021 WA-SEC $10,000
Gateway Mortgage Group, LLC   2009 AR-SEC $15,000
Gateway One Lending & Finance, LLC   2021 SEC $6,513,192
GAWK Inc.   2016 MT-SEC $147,682
GBS Funding   2003 OR-FIN $25,000
Geaux Global   2020 WI-FIN $155,000
Geckler Companies, Inc.   2013 MN-FIN $15,000
Gelber Group, LLC   2013 CFTC $750,000
Gelfman Blueprint, Inc.   2018 CFTC $2,408,734
Gemini Fund Services, LLC   2018 SEC $400,000
Gemisys Corporation   2002 SEC $15,000
Geneos Wealth Management Inc.   2018 SEC $1,808,121
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
General Motors General Motors motor vehicles 2021 CA-AG $5,750,000
General Reinsurance Corporation Berkshire Hathaway diversified 2009 OH-AG $72,000,000
Genery Wealth Management, LLC   2019 NH-BSR $52,500
Genesis Advisors, LLC   2011 IN-SEC $5,000
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp.   2014 SEC $1,583,942
Genesis Associates Limited Partnership   2018 SEC $50,000
Genesis E&P, Inc.   2020 SEC $192,768
Genesis Fund, LLC   2017 MI-SEC $10,000
Genesis Holding Group, LLC   2013 IN-SEC $223,000
Genesis Holdings Group, Inc. and Phoenix Development Group, Inc.   2012 OR-FIN $10,000
Genesis Worldwide, Inc.   2003 IL-SEC $30,000
Geneva Securities, Inc.   2003 IL-SEC $20,000
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.