Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2014 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Ameritrade Inc.   2007 TX-SEC $200,000
Ameritrade, Inc.   2009 DE-SEC $40,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.   2008 MN-AG $375,000
AMG Energy, LLC and R. Thomas?& Co., LLC   2017 SEC $150,000
AMMB Consultant Sendirian Berhad   2012 SEC $1,550,000
AMP Global Clearing LLC   2018 CFTC $100,000
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
AmSouth Investment Services Inc. Regions Financial financial services 2004 MULTI-FIN $225,000
AmSouth Investment Services, Inc. Regions Financial financial services 2004 MS-SEC $225,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Amvest Securities, Inc.   2006 IL-SEC $24,400
An L.A. Minute LLC   2020 SEC $100,000
Anabaptist Financial   2019 KY-FIN $5,500
Anamar Communications, Inc.   2002 SEC $136,917
Anchor Mortgage, LLC   2009 MD-SEC $120,000
Ancora Advisors LLC   2018 SEC $100,000
Anderson Heights Development LLC   2014 OR-FIN $12,000
Anderson-David & Associates, Inc.   2002 ID-SEC $12,000
Andover Brokerage, LLC   2003 SEC $151,876
Andrew Garrett Inc.   2010 CT-SEC $20,000
Andrew Garrett, Inc.   2006 MO-SEC $9,500
Andrew Garrett, Inc.   2008 MO-SEC $15,000
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
Angel Rose Energy, LLC   2012 KY-FIN $5,000
Angus Jackson, Inc.   2013 CFTC $2,800,000
Angus Partners LLC   2016 CFTC $250,000
Annett & Associates   2020 CO-SEC $7,000
ANS Enterprises, LLC   2014 NJ-BOS $453,138
Anthone Properties, LLC   2005 WA-FIN $60,000
Antipodean Advisors   2014 SEC $93,672
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
ANY TEST FRANCHISING, INC.   2013 VA-SEC $35,000
AOC Securities LLC   2019 SEC $250,000
AOV WI FI   2004 MD-SEC $10,000
Apex Fund Services (US), Inc.   2016 SEC $171,836
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
Apollo18 LLC   2018 PA-BKG $5,000
Appaloosa Management L.P.   2010 SEC $1,304,523
Apple Tree Investments, Inc.   2009 AR-SEC $50,000
Applied Digital Technologies, Inc.   2012 CA-DBO $8,000,000
Applied Financial Group Inc.   2005 SEC $50,000
APT MotoVox Group Inc.   2014 SEC $25,000
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
AR Capital LLC   2019 SEC $53,000,000
Arab Global Commodities DMCC   2017 CFTC $300,000
Arbor Capital Management, Inc.   2013 AK-DBS $5,000
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Ardin Logistics, LLC   2007 MD-SEC $100,000
Ardsley Advisory Partners   2013 SEC $815,071
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Argo Group International Holdings, Ltd.   2020 SEC $900,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Aria Partners GP, LLC   2018 SEC $150,000
Aristeia Capital, LLC   2011 SEC $1,762,776
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
Arizona Idaho Mining, LLC   2005 ID-SEC $1,730,000
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Arizona Metro Direct Information Services Inc.   2001 OR-FIN $23,500
Arjent Capital Markets LLC and Chicago Trading Managers LLC   2013 CFTC $1,800,000
Ark Asset Management Co., Inc.   2010 SEC $750,000
Arlington Capital Management, Inc.   2018 SEC $125,000
Armadillo Energy, Inc.   2014 WA-FIN $23,000
Armajaro Trading Limited   2005 CFTC $35,000
Armared Dragon, Inc.   2015 IL-SEC $10,000
ARMKAT LLC   2019 CFTC $140,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
ARO Equity, LLC   2020 CT-SEC $300,000
ARRG Corp.   2016 SEC $410,753
Artience Capital Management, LLC   2013 CA-DBO $10,000
Artis Capital Management   2016 SEC $8,878,015
Arvest Asset Management   2013 OK-SEC $20,000
Ascend Capital, LLC   2003 SEC $46,258
Ascenergy LLC   2017 SEC $6,859,690
Ascension Energy Group, Inc.   2016 MI-SEC $60,000
Ascension Investments, Inc.   2010 CO-SEC $92,748
Ashland Partners L.P.   2014 WA-FIN $30,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC   2007 SEC $455,700
Ashmore Family Foundation   2008 ND-SEC $65,223
ASI Capital, LLC et al.   2020 MI-SEC $5,000
ASM Financial Funding Corp.   2008 MD-SEC $200,000
ASMAC Financial, Inc.   2010 SEC $133,995
Aspen Wealth Management, Inc.   2017 MO-SEC $20,000
Assemblies of God Credit Union   2016 MO-SEC $20,000
Assemblies of God Loan Fund   2017 MO-SEC $10,000
Assemblies of God Loan Fund   2005 ND-SEC $10,000
Asset & Financial Planning, Ltd.   2010 CT-SEC $11,150
Asset Advisors, LLC   2011 SEC $20,000
Asset Capital Consulting, Inc.   2014 FL-OFR $40,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Asset Timing Corp.   2000 SEC $5,000
AssetMark, Inc.   2016 SEC $500,000
Assisted Living Development Company, Inc. et al.   2011 AZ-SEC $2,410,895
Assurance Capital Management, LLC   2017 CFTC $1,969,165
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
ATC Investment Group, LLC   2010 DE-SEC $53,158
Athena Capital Research   2014 SEC $1,000,000
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.