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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Adams Capital Management   2017 SEC $45,000
Aisling Capital   2017 SEC $70,456
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Alta Communications   2017 SEC $35,000
Commonwealth Venture Management Corporation   2017 SEC $75,000
Cypress Advisors   2017 SEC $35,000
FFL Partners   2017 SEC $75,000
Lime Rock Management   2017 SEC $75,000
NGN Capital   2017 SEC $100,000
Pershing Square Capital Management   2017 SEC $75,000
The Banc Funds Company   2017 SEC $75,000
Citadel Securities LLC   2017 SEC $22,600,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
ITG   2017 SEC $24,400,000
Port Authority of New York and New Jersey   2017 SEC $400,000
Interinvest Corporation   2016 SEC $6,900,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
AMG Energy, LLC and R. Thomas?& Co., LLC   2017 SEC $150,000
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Sidoti & Company LLC   2017 SEC $100,000
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Hold Brothers Online Investment Services, LLC   2017 SEC $707,764
TeamVinh.com LLC   2017 SEC $2,681,072
Momentum Investment Partners LLC dba Avatar Investment Management   2017 SEC $193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation   2017 SEC $50,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Verto Capital Management   2017 SEC $4,158,517
Enviso Capital LLC   2017 SEC $50,000
Ascenergy LLC   2017 SEC $6,859,690
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
7S Oil & Gas, LLC   2017 SEC $750,000
Petroforce Energy, LLC   2017 SEC $300,000
Green Tree Investment Group   2017 SEC $770,356
Millennium Management LLC   2017 SEC $630,000
Augustine Capital Management LLC   2017 SEC $878,305
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC   2017 SEC $100,937
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Credit Karma, Inc.   2018 SEC $160,000
Valor Capital Asset Management, LLC   2018 SEC $715,871
Financial Fiduciaries, LLC   2018 SEC $40,000
Equitystar Capital Management, LLC   2018 SEC $2,890,518
Dynamic Intelligence, Inc.   2018 SEC $228,552
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Americafirst Capital Management, LLC   2018 SEC $50,000
Gemini Fund Services, LLC   2018 SEC $400,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
LKL Investment Counsel LLC   2018 SEC $100,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Horter Investment Management, LLC   2017 SEC $778,804
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Institutional Investor Advisers, Inc.   2017 SEC $200,000
Brahman Capital Corp.   2017 SEC $250,000
Gray Financial Group, Inc.   2017 SEC $401,298
Millennium Management LLC   2017 SEC $638,709
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
Canterbury Consulting, Inc.   2017 SEC $172,986
Loop Capital Markets, LLC   2017 SEC $25,000
Success Holding Group International, Inc.   2017 SEC $139,737
SIX Financial Information USA Inc.   2017 SEC $107,707
LBMZ Securities, Inc.   2017 SEC $240,000
VisionPoint Advisory Group, LLC   2017 SEC $45,000
360 Financial, Inc.   2017 SEC $40,000
TRH Financial LLC   2017 SEC $35,000
Sagent Wealth Management, LLC   2017 SEC $181,110
Platinum Equity Advisors, LLC Platinum Equity private equity (including portfolio companies) 2017 SEC $3,402,132
Howarth Financial Services, LLC   2017 SEC $203,444
JL Capital Management   2017 SEC $278,289
Potomac Asset Management Company, Inc   2017 SEC $300,000
Envoy Advisory, Inc.   2017 SEC $51,892
Municipal Finance Services, Inc.   2017 SEC $50,000
O'Connor & Company Securities, Inc.   2017 SEC $150,000
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
Institutional Investors Advisory Company   2017 SEC $843,187
Capital Dynamics, Inc.   2017 SEC $275,000
Coachman Energy Partners LLC   2017 SEC $941,507
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
Columbia River Advisors, LLC   2017 SEC $80,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $200,000
Bradway Financial, LLC and Bradway Capital Management, LLC   2017 SEC $150,000
Umbrella Research, LLC   2017 SEC $16,676
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SEC $552,086
Paramount Group Real Estate Advisor LLC   2017 SEC $250,000
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.