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
Paramount Group Real Estate Advisor LLC   2017 SEC $250,000
Landwin Management, LLC   2017 SEC $75,000
Bantry Bay Capital, LLC   2017 SEC $100,000
Resilience Management, LLC   2017 SEC $250,000
Wm Smith & Co.   2017 SEC $50,000
Bonwick Capital Partners, LLC   2017 SEC $50,000
New York REIT, Inc. and New York Recovery Advisors, LLC   2017 SEC $165,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Tellone Management Group, Inc.   2017 SEC $75,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.   2017 SEC $22,614,534
William Blair & Company, L.L.C.   2017 SEC $4,500,000
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Lebenthal & Co., LLC   2017 SEC $150,000
Wilson-Davis & Company, Inc.   2017 SEC $310,713
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
Lion Biotechnologies, Inc.   2017 SEC $100,000
Lawson Financial Corporation   2017 SEC $396,652
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Cygs, LLC   2017 SEC $60,879
Covenant Financial Services, LLC   2017 SEC $144,845
Louis Capital Markets, LP   2017 SEC $2,500,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
MKJJ Consulting LLC   2017 SEC $2,973,916
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2017 SEC $300,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
Lone Star Value Management and Heartland Advisors   2017 SEC $300,000
Columbia Management Investment Services Corp. Ameriprise Financial financial services 2017 SEC $250,000
Jaypee International, Inc.   2017 SEC $25,000
Jeffrey Slocum & Associates, Inc.   2017 SEC $300,000
Olde Monmouth Stock Transfer Co., Inc.   2017 SEC $126,183
Palestra Capital Management LLC   2017 SEC $180,968
Mer Telemanagement Solutions Ltd.   2017 SEC $50,000
Centre Partners Management, LLC   2017 SEC $50,000
Essex Financial Services, Inc.   2017 SEC $183,181
Berman & Company, P.A.   2017 SEC $25,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
Empire Stock Transfer, Inc.   2016 SEC $154,239
M2 Law Professional Corp.   2016 SEC $154,267
TPG Advisors LLC   2016 SEC $328,437
New Silk Route Advisors, L.P.   2016 SEC $275,000
Grassi & Co., CPAs and P.C.   2016 SEC $401,510
PMB Helin Donovan, LLP   2016 SEC $160,000
OTC Global Partners, LLC   2016 SEC $87,499
Henning-Carey Proprietary Trading, LLC   2016 SEC $110,000
Hope Capital, Inc.   2016 SEC $579,747
Dupree Financial Group, LLC   2016 SEC $25,000
Elray Resources, Inc.   2016 SEC $50,000
Moloney Securities Co., Inc.   2016 SEC $41,500
Altair Nanotechnologies, Inc.   2016 SEC $250,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
Connexus Corporation   2016 SEC $50,000
Aviva Investors Americas, LLC   2016 SEC $250,000
Wilmington Savings Fund Society, FSB   2016 SEC $375,000
Nu Skin Enterprises, Inc. Nu Skin Enterprises household and personal care products 2016 SEC $765,688
3C Advisors & Associates, Inc.   2016 SEC $7,500
First Reserve Management, L.P.   2016 SEC $3,500,000
Orinda Asset Management, LLC   2016 SEC $75,000
AssetMark, Inc.   2016 SEC $500,000
Congress Wealth Management LLC   2016 SEC $100,000
BB&T Securities, LLC Truist Financial financial services 2016 SEC $200,000
Constellation Wealth Advisors LLC   2016 SEC $100,000
Risk Paradigm Group, LLC   2016 SEC $100,000
Executive Monetary Management, LLC   2016 SEC $100,000
W.L. Lyons, LLC   2016 SEC $200,000
Ladenburg Thalmann Asset Management Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $200,000
HT Partners LLC   2016 SEC $100,000
Banyan Partners, LLC   2016 SEC $200,000
Prospera Financial Services, Inc.   2016 SEC $100,000
Schneider Downs Wealth Management Advisors, LP   2016 SEC $100,000
Shamrock Asset Management LLC   2016 SEC $200,000
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
Delaney Equity Group LLC   2016 SEC $20,000
Fortius Financial Advisors, LLC   2016 SEC $94,070
Concert Global Group Limited and Concert Wealth Management, Inc.   2016 SEC $120,000
Washington Wealth Management, LLC   2016 SEC $50,000
Advantage Investment Management, LLC   2016 SEC $60,000
Riverfront Investment Group, LLC   2016 SEC $300,000
Secondmarket, Inc.   2016 SEC $53,755
WFG Advisors, L.P.   2016 SEC $100,000
Ross, Sinclaire & Associates, LLC   2016 SEC $903,574
Simpson Hughes Financial, LLC   2016 SEC $287,119
Feltl & Company, Inc.   2016 SEC $183,128
Apex Fund Services (US), Inc.   2016 SEC $171,836
2 West, Inc., et al.   2016 SEC $2,025,179
School Business Consulting, Inc   2016 SEC $30,000
Keygent LLC   2016 SEC $100,000
American Life, Inc.   2016 SEC $1,000,000
Blackstreet Capital Management, LLC   2016 SEC $2,622,737
Federated Global Investment Management Corp.   2016 SEC $1,500,000
Biscayne Capital International, LLC   2016 SEC $158,087
American Registrar & Transfer Company   2016 SEC $25,649
MaloneBailey, LL   2016 SEC $100,000
Santos, Postal & Company, P.C.   2016 SEC $29,076
Innovative Business Solutions, LLC   2016 SEC $357,986
Craig Scott Capital, LLC   2016 SEC $100,000
Thakkar CPA, PLLC   2016 SEC $359,487
Cambridge Investment Research Advisors, Inc.   2016 SEC $225,000
Canaccord Genuity Inc.   2016 SEC $550,198
Central States Capital Markets, LLC   2016 SEC $374,827
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.