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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Level Global Investors LP   2013 SEC $21,514,274
Taberna Capital Management   2015 SEC $21,500,000
SmartWear Technologies, Inc.   2012 CA-DBO $21,420,639
BISYS Fund Services, Inc.   2006 SEC $21,400,000
Trigon Group, Inc.   2012 CFTC $20,600,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
Synergy Oil, LLC   2014 CA-DBO $20,400,047
ITG Inc.   2015 SEC $20,300,000
First Capitol Futures Group   2010 CFTC $20,300,000
Renaissance Management, LLC et al.   2016 CA-DBO $20,275,000
Edward D. Jones & Co. LP Jones Financial financial services 2015 SEC $20,000,000
Guggenheim Partners Investment Management LLC Guggenheim Partners financial services 2015 SEC $20,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group financial services 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
Bank of America Corporation Bank of America financial services 2014 SEC $20,000,000
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
Carlyle Group Carlyle Group private equity (including portfolio companies) 2009 NY-AG $20,000,000
OppenheimerFunds Inc. Invesco financial services 2009 OR-AG $20,000,000
The Hartford Financial Services Group Hartford Financial Services financial services 2006 MULTI-AG $20,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 MD-AG $20,000,000
Deloitte & Touche Deloitte Touche Tohmatsu business services 2012 MI-AG $19,900,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services   2006 CFTC $19,555,041
UBS AG UBS financial services 2015 SEC $19,500,000
Williams Advisory Group, LLC   2018 CFTC $19,450,034
Western Asset Management Company Franklin Resources financial services 2014 SEC $19,400,000
DFRF Enterprises LLC and DFRF Enterprises, LLC   2019 SEC $19,390,352
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
CRW Management LP   2011 CFTC $19,000,000
Standard and Poor's Financial Services LLC S&P Global information technology 2015 MULTI-AG $19,000,000
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
Green Screen Partners, LLC et al.   2002 CA-DBO $18,592,430
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Telegram Group Inc.   2020 SEC $18,500,000
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
ICP Asset Management   2012 SEC $18,275,033
U.S. Bank National Association U.S. Bancorp financial services 2015 CFTC $18,000,000
American Bullion Exchange   2014 CFTC $18,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Markstone Capital Group LLC   2010 NY-AG $18,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MULTI-FIN $18,000,000
BioChemics Inc.   2015 SEC $17,897,887
CanAm Capital Corp. et al.   2012 CA-DBO $17,860,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS financial services 2015 SEC $17,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2013 MA-SEC $17,500,000
DG Wealth Management   2016 CFTC $17,499,623
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Capital Blu Management, LLC   2011 CFTC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
Whispering Winds Properties, L.L.C et al.   2009 AZ-SEC $16,633,570
Virtus Investment Advisers, Inc.   2015 SEC $16,500,000
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation   2007 CFTC $16,403,000
The Chamber Group, Inc.   2002 AZ-SEC $16,342,404
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Berkshire Resources, L.L.C.   2010 SEC $16,255,846
Murtha Cullina LLP   2007 CT-AG $16,250,000
M25 Investments, Inc. and M37 Investments, LLC   2010 CFTC $16,200,000
Forstmann Little & Co.   2004 CT-AG $16,200,000
ICOBox   2020 SEC $16,059,428
Latour Trading LLC   2014 SEC $16,000,000
Gabelli Funds LLC Gamco Investors Inc. financial services 2008 SEC $16,000,000
Hertz Global Holdings, Inc. Hertz miscellaneous services 2018 SEC $16,000,000
Nationwide Retirement Solutions   2010 AL-AG $16,000,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Altamont Global Partners LLC   2014 CFTC $15,800,000
Brookshire Raw Materials Management, LLC   2011 CFTC $15,800,000
The Tulving Company, Inc.   2019 CFTC $15,761,432
The Trade Tech Institute, Inc. and Technology Trading International, Inc.   2012 CFTC $15,759,357
GetAnswers, Inc.   2007 SEC $15,713,676
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2018 SEC $15,700,000
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, American Futures and Options Exchange, Metro Financials, and American Futures and Options Trading C   2007 CFTC $15,524,957
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Omega Knight 2, LLC   2019 CFTC $15,257,028
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Goldman Sachs & Co. Goldman Sachs financial services 2016 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 SEC $15,000,000
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
UBS AG UBS financial services 2018 CFTC $15,000,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $15,000,000
Ingram Micro Inc. HNA Group diversified 2009 SEC $15,000,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
The Options Clearing Corporation   2019 SEC $15,000,000
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
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(*): 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.