Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
ROLFund.com and Crunkland Records, Ltd. and Crunkvest Ltd.   2007 MO-SEC $34,390
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Romano Brothers & Company   2018 SEC $15,000
Romano Brothers and Company   2018 CT-SEC $5,040
Rome Finance Co. (GA), LLC   2011 CA-DFPI $250,000
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Roosevelt & Cross, Incorporated   2016 SEC $250,000
Roran Enterprises   2017 NM-SEC $11,000
Rose Park Advisors LLC   2018 SEC $75,000
Rosenberg Rich Baker Berman & Company   2013 SEC $37,000
Rosenthal Collins Capital Markets, LLC   2017 CFTC $5,000,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Rosenthal Collins Group, LLC   2012 CFTC $2,500,000
Rosenthal Collins Group, LLC   2008 CFTC $310,000
Rosewood Energy, LLC   2007 MD-SEC $150,000
Ross, Sinclaire & Associates, LLC   2016 SEC $903,574
Ross, Sinclaire & Associates, LLC   2015 SEC $220,000
Rothman Securities, Inc.   2014 SEC $90,000
Rothschild Investment Corp.   2008 AL-SEC $17,646
Rothschild Investment Corp.   2008 MT-SEC $5,000
Rothschild Investment Corporation   2008 ND-SEC $15,000
Roundhill Securities, Inc.   2002 SEC $100,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 IL-SEC $10,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $25,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NH-BSR $190,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NJ-BOS $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
Royal Bank of Scotland Group plc NatWest Group PLC financial services 2014 SEC $120,000
Royal Burgundy International, Inc.   2010 CT-SEC $25,000
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
Royal Securities Co. and Royal Advisers, LLC   2018 MI-SEC $5,000
Royal Wealth Management, Inc. dba Northstar Capital   2012 ID-SEC $20,000
RPM Capital Management, LLC   2017 CT-SEC $10,400
RS Investment Management L.P.   2004 SEC $25,000,000
RS Investment Management L.P.   2004 NY-AG (*) $30,000,000
RSC Adventures, LLC   2013 AZ-SEC $6,500
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Rubicon Investment Management & Analytics LLC   2016 TX-SEC $5,000
Ruby Corporation   2014 SEC $1,100,000
Rudney Associates, Inc.   2004 SEC $62,330
Rumelia Capital   2018 MO-SEC $150,400
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.   2015 WA-FIN $8,000
Runnymede Capital Partners and Runnymede Capital Management   2005 WA-FIN $15,000
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Rushmore Securities Corp.   2002 FL-OFR $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Ruttenberg and Associates Financial Marketing Inc.   2008 OR-FIN $300,000
Ruttenberg and Associates MVP Inc.   2006 OR-FIN $75,000
RWM Asset Management LLC   2019 PA-BKG $20,000
Ryan Beck & Co. and Ryan Beck Life Agency, Inc.   2006 MT-SEC $150,000
Ryan Capital Advisors, LLC   2013 MN-FIN $10,000
Ryan Financial Advisors, Inc.   2019 SEC $258,670
Rydex Distributors, Inc.   2018 NH-BSR $150,000
RYM Technology Holdings, L.L.C.   2007 AZ-SEC $25,000
S P Consulting, LLC   2018 CT-SEC $7,500
S&P Dow Jones Indices LLC S&P Global information technology 2021 SEC $9,000,000
S.F. Ehrlich Associates Inc.   2017 PA-BKG $85,000
S.G. Long & Company   2020 TX-SEC $15,000
S3, Inc.   2008 MN-FIN $6,000
SA Stone Investment Advisors Inc.   2019 SEC $687,374
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Sabby Management LLC   2015 SEC $278,747
Saber Funds, LLC et. al.   2015 NJ-BOS $7,282,500
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Safe Harbor Financial LLC   2009 MO-SEC $16,920
Safe Harbor Retirement Solutions, LLC   2018 MN-FIN $40,000
Safe Harbour LLC   2019 CT-SEC $20,450
Safe Money Millionaire et al.   2020 MO-SEC $97,429
Safe Systems, Inc.   2012 OR-FIN $10,000
Safeguard 3030 Investment Club   2012 CFTC $3,000,000
Safevest LLC   2009 CFTC $25,000,000
Sage Advisory Services LLC   2001 SEC $288,328
Sagent Wealth Management, LLC   2017 SEC $181,110
SagePoint Financial Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SC-SEC $40,000
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
Saint Marketing, Inc.   2003 CO-AG $372,000
Salem Advisory Group LLC   2018 ME-SEC $5,000
Saliba Managed Funds Inc.   2014 NH-BSR $55,000
Salomon Smith Barney Morgan Stanley financial services 2002 FINRA $5,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Whitney LLC   2011 CT-SEC $12,500
Salomon Whitney LLC   2011 FINRA $60,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.   2020 SEC $250,000
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC   2005 ID-SEC $60,000
Saltwater Harbor Financial, LLC   2018 ME-SEC $50,000
SameDay Security, Inc.   2016 MS-SEC $8,000
Samson Energy Group, LLC   2015 WA-FIN $5,750
San Clemente Securities   2000 OR-FIN $10,000
San Diego Gas & Electric Company Sempra Energy utilities and power generation 2010 CFTC $80,000
Sanco Services Inc.   2011 SC-SEC $5,000
Sand Hill Exchange   2015 SEC $20,000
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.