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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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 Industrysort icon Year Agency Penalty Amount
Virtu ITG Canada Corp.   2020 SEC $200,000
Cormark Securities Inc.   2020 SEC $800,000
ShipChain, Inc.   2020 SEC $2,050,000
India Globalization Capital, Inc.   2020 SEC $175,000
ICE Data Pricing & Reference Data LLC   2020 SEC $8,000,000
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Applied BioSciences Corp.   2020 SEC $25,000
Bancwest Investment Services, Inc.   2020 SEC $406,432
S.G. Long & Company   2020 TX-SEC $15,000
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
Savannah Solar International, Inc. and Savannah Solar International, LLC   2021 VA-SEC $61,611
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
American Equities, Inc.   2020 WA-SEC $115,000
PV Wealth Advisors, LLC   2021 WI-FIN $204,737
SB Financial Group   2020 WI-FIN $25,000
UAB Mid West Group   2020 WI-FIN $250,000
Geaux Global   2020 WI-FIN $155,000
CTOption   2020 WI-FIN $24,000
Worden Capital Management LLC   2020 FINRA $1,550,000
Lek Securities Corporation   2019 FINRA $900,000
Summit Brokerage Services, Inc.   2019 FINRA $880,000
Buckman, Buckman & Reid, Inc.   2019 FINRA $205,000
TradeStation Securities, Inc.   2008 FINRA $750,000
Instinet, LLC   2018 FINRA $1,575,000
C.L. King & Associates, Inc.   2017 FINRA $750,000
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Georgeson Securities Corporation   2016 FINRA $650,000
Cetera Advisor Networks LLC   2016 FINRA $750,000
Cetera Financial Specialists LLC   2016 FINRA $350,000
First Allied Securities, Inc.   2016 FINRA $950,000
Summit Brokerage Services, Inc.   2016 FINRA $500,000
VSR Financial Services, Inc.   2016 FINRA $400,000
Kestra Investment Services, LLC   2016 FINRA $475,000
FTB Advisors, Inc.   2016 FINRA $250,000
Avenir Financial Group   2016 FINRA $229,000
Stephens Inc.   2016 FINRA $900,000
Stephens Inc.   2015 FINRA $150,000
First Allied Securities, Inc.   2015 FINRA $1,014,647
Cetera Advisors LLC   2015 FINRA $702,622
Park Avenue Securities LLC   2015 FINRA $743,255
Commonwealth Financial Network   2015 FINRA $582,521
Cetera Advisor Networks LLC   2015 FINRA $301,108
Infinex Investments, Inc.   2015 FINRA $259,627
The Huntington Investment Company   2015 FINRA $135,973
StockCross Financial Services, Inc.   2015 FINRA $800,000
Aegis Capital Corp.   2015 FINRA $950,000
H. Beck, Inc.   2015 FINRA $425,000
LaSalle St. Securities, LLC   2015 FINRA $175,000
J.P. Turner & Company, LLC   2015 FINRA $100,000
First New York Securities L.L.C.   2015 FINRA $916,000
Brookville Capital Partners LLC   2015 FINRA $1,500,000
John Thomas Financial   2015 FINRA $1,147,288
Monex Securities Inc.   2014 FINRA $1,275,000
Pershing LLC   2014 FINRA $3,000,000
Needham & Company LLC   2014 FINRA $2,500,000
Triad Advisors   2014 FINRA $1,025,000
J.P. Turner & Company, L.L.C.   2013 FINRA $707,559
Newedge USA, LLC   2013 FINRA $9,500,000
StateTrust Investments, Inc.   2013 FINRA $1,398,000
David Lerner Associates, Inc.   2012 FINRA $14,300,000
Guggenheim Securities, LLC   2012 FINRA $800,000
Hold Brothers On-Line Investment Services, LLC   2012 FINRA $3,400,000
Rodman & Renshaw LLC   2012 FINRA $315,000
Brookstone Securities   2012 FINRA $2,600,000
Citi International Financial Services LLC   2012 FINRA $1,248,000
Investors Capital Corporation   2011 FINRA $400,000
Garden State Securities, Inc.   2011 FINRA $300,000
Capital Financial Services   2011 FINRA $200,000
National Securities Corporation   2011 FINRA $175,000
Equity Services, Inc.   2011 FINRA $214,000
Newbridge Securities Corporation   2011 FINRA $25,000
Wells Investment Securities, Inc.   2011 FINRA $300,000
Pointe Capital, Inc.   2011 FINRA $300,000
John Thomas Financial   2011 FINRA $275,000
First Midwest Securities, Inc.   2011 FINRA $150,000
A&F Financial Securities, Inc.   2011 FINRA $125,000
Salomon Whitney LLC   2011 FINRA $60,000
Workman Securities Corp.   2011 FINRA $700,000
Askar Corporation   2011 FINRA $45,000
Trillium Brokerage Services, LLC   2010 FINRA $1,000,000
Phoenix Derivatives Group, LLC   2010 FINRA $3,000,000
National Financial Services   2010 FINRA $350,000
Westpark Capital, Inc.   2010 FINRA $400,000
Fagenson & Co., Inc.   2010 FINRA $165,000
Alpine Securities Corporation   2010 FINRA $40,000
Equity Station, Inc.   2010 FINRA $25,000
Olympus Securities, LLC   2010 FINRA $20,000
D.A. Davidson & Co.   2010 FINRA $375,000
Pacific Cornerstone Capital   2009 FINRA $700,000
Terra Nova Financial, LLC   2009 FINRA $400,000
City Securities Corporation   2009 FINRA $250,000
Legacy Trading Co., LLC   2009 FINRA $1,007,035
IFMG Securities   2009 FINRA $450,000
Mutual Service Corporation   2009 FINRA $1,500,000
RD Capital Group   2009 FINRA $1,000,000
NatCity Investments, Inc.   2009 FINRA $300,000
M&I Financial Advisors, Inc.   2009 FINRA $150,000
Centaurus Financial, Inc.   2009 FINRA $175,000
J.J.B. Hilliard, W.L. Lyons Inc.   2009 FINRA $500,000
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.