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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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)
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Madison Dean, Inc.   2013 CFTC $1,400,000
EagleEye Asset Management   2013 CFTC $600,000
Enskilda Futures Limited   2013 CFTC $125,000
J. Hansen Investments, LLC   2013 CFTC $1,300,000
Gelber Group, LLC   2013 CFTC $750,000
GID Group, Inc.   2013 CFTC $2,400,000
Trader's International Return Network   2013 CFTC $22,800,000
Angus Jackson, Inc.   2013 CFTC $2,800,000
Lincolnshire Trading Partners, LLC   2013 CFTC $140,000
Trans Global Investments, LLC   2013 CFTC $340,000
R.J. O'Brien & Associates, LLC   2013 CFTC $300,000
TC Credit Service d/b/a Del-Mair Group   2012 CFTC $2,600,000
Trigon Group, Inc.   2012 CFTC $20,600,000
Forex Capital Trading Group, Forex Capital Trading Partners, and Highland Stone Capital Management   2012 CFTC $1,800,000
MBF Clearing Corp.   2012 CFTC $650,000
iGlobal Strategic Management, LLC   2012 CFTC $2,000,000
Eagle Market Makers Inc.   2012 CFTC $223,000
Demuzio Capital Management, LLC   2012 CFTC $3,000,000
Crabapple Capital Group LLC   2012 CFTC $2,600,000
Lunden Forex Partners, LP, Lunden Forex Management, LLC , Black Horse Funds, LLC, Black Horse Management, LLC, and Black Horse Partners, LP   2012 CFTC $1,890,000
Farr Financial Inc.   2012 CFTC $280,000
GlobeFX Club, Inc.   2012 CFTC $350,000
Midway Trading Company, LLC and Conquest Investment Group, Inc.   2012 CFTC $1,400,000
CMA Capital Management, LLC   2012 CFTC $5,500,000
Australia and New Zealand Banking Group Ltd.   2012 CFTC $350,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
York Business Associates LLC d/b/a TransAct Futures   2012 CFTC $199,000
Infinity Futures LLC   2012 CFTC $340,000
ProfitStars Intl, Corp.   2012 CFTC $280,000
Blue Sky Capital Management Corp.   2012 CFTC $140,000
CSG Commodity Service Group   2012 CFTC $1,200,000
SMP Bank and Epaster Investments, Ltd.   2012 CFTC $980,000
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC   2012 CFTC $5,400,000
LMC Asset Management, Inc.   2012 CFTC $140,000
Stuckey Group, L.P., Stuckey Group II, L.P. and Oakwood Development Company, L.P.   2012 CFTC $250,000
Axcess Automation LLC and Axcess Fund Management LLC   2012 CFTC $41,000,000
Growth Capital Management LLC   2012 CFTC $9,300,000
The Trade Tech Institute, Inc. and Technology Trading International, Inc.   2012 CFTC $15,759,357
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC   2012 CFTC $2,500,000
CDH Forex Investments, LLC and CDH Global Holdings LLC   2012 CFTC $5,400,000
Pro Trading Course, LLC   2012 CFTC $600,000
Open E Cry, LLC   2012 CFTC $250,000
Prosperity Team, LLC   2012 CFTC $2,600,000
Progressive Investment Funds LLC   2012 CFTC $700,000
ACI Capital Group, L.L.C.   2012 CFTC $850,000
Invers Forex, LLC   2012 CFTC $4,000,000
International Foreign Currency   2012 CFTC $4,600,000
Financial Instruments Ltd.   2012 CFTC $140,000
SNC Asset Management, Inc. and SNC Investments, Inc.   2012 CFTC $5,000,000
PassThrough Investments, LLC   2012 CFTC $1,100,000
Forex Liquidity LLC   2012 CFTC $400,000
Optiver Holding BV   2012 CFTC $14,000,000
Flint-McClung Capital LLC   2012 CFTC $6,000,000
Safeguard 3030 Investment Club   2012 CFTC $3,000,000
Rosenthal Collins Group, LLC   2012 CFTC $2,500,000
Total Call Group, Inc.   2012 CFTC $4,800,000
ACJ Capital, Inc.   2012 CFTC $3,700,000
City Credit Capital, (UK) Ltd.   2012 CFTC $140,000
Windsor Brokers, Ltd.   2012 CFTC $140,000
Enfinium Pty Ltd   2012 CFTC $80,000
Virtual Vision Inc.   2012 CFTC $1,000,000
D.E. Shaw & Co. L.P.   2012 CFTC $140,000
Centurion Global Capital Management LLC   2012 CFTC $360,000
Newedge USA, LLC   2012 CFTC $700,000
FXOpen Investments Inc.   2012 CFTC $140,000
JG Forex Fund   2011 CFTC $1,400,000
Midwest Land & Livestock, Inc., SKV Farms Inc. and DCV Farms, Inc.   2011 CFTC $382,000
Enskilda Futures Ltd.   2011 CFTC $150,000
JadeFX, LTD and Jade Investments Group, LLC   2011 CFTC $2,600,000
Francis Grant Investments Inc.   2011 CFTC $500,000
Velocity Futures, LLC   2011 CFTC $180,000
Cyber Market Group LLC   2011 CFTC $500,000
First Capital Savings and Loan   2011 CFTC $4,500,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC   2011 CFTC $24,000,000
Integra Capital Management, LLC   2011 CFTC $6,900,000
Barki LLC   2011 CFTC $40,904,000
CRW Management LP   2011 CFTC $19,000,000
Tenco, Inc.   2011 CFTC $140,000
Dearborn Trading, Inc.   2011 CFTC $180,000
New Golden Investment Group   2011 CFTC $8,000,000
Lodge Capital Group, LLC   2011 CFTC $825,000
Longbranch Group International LLC   2011 CFTC $2,000,000
Ecoval Dairy Trade, Inc.   2011 CFTC $1,425,000
ForInvest Group   2011 CFTC $280,000
Capital Blu Management, LLC   2011 CFTC $17,000,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Cadent Financial Services LLC   2011 CFTC $125,000
FX Trading, LLC   2011 CFTC $110,000
Winell Associates, Inc. and Maxie Partners GP, LLC   2011 CFTC $5,200,000
Liquid Capital Management, LLC   2011 CFTC $12,000,000
C & R Financial, Inc.   2011 CFTC $5,350,000
Brookshire Raw Materials Management, LLC   2011 CFTC $15,800,000
Yellowstone Partners, Inc.   2011 CFTC $1,600,000
Centurion Asset Management, Inc.   2011 CFTC $49,700,000
Forward Investment Group, LLC   2011 CFTC $46,900,000
Jeff Shalhoub Investments   2011 CFTC $700,000
Newedge USA, LLC   2011 CFTC $220,000
Northstar International Group, Inc.   2011 CFTC $11,000,000
Crossfire Trading, LLC   2011 CFTC $84,000,000
Daniels Trading Group LLC   2011 CFTC $2,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
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.