Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,158,000
Stafford Financial Firm   2017 MO-SEC $1,162,422
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Negus Capital Incorporated   2021 CFTC $1,178,180
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
Investment Acquisitions Group LLC   2015 AZ-SEC $1,180,339
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services 2013 FINRA $1,188,000
IC Advisory Services Inc.   2019 SEC $1,195,186
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
CSG Commodity Service Group   2012 CFTC $1,200,000
Mid-Atlantic Financial, LLC et al.   2018 MD-SEC $1,200,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2015 FINRA $1,200,000
ING Groep N.V. Voya Financial financial services 2013 FINRA $1,200,000
MetLife Securities, Inc. MetLife financial services 2009 FINRA $1,200,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Whitebox Advisors   2014 SEC $1,202,924
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Summit Financial Group, Inc.   2020 SEC $1,206,882
MakeYourFuture, LLC   2017 CFTC $1,207,294
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
Citi International Financial Services LLC   2012 FINRA $1,248,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Robinhood Financial, LLC   2019 FINRA $1,250,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2017 FINRA $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Pishon Holding LLC   2019 CFTC $1,259,317
Portfolio Advisors Alliance   2019 SEC $1,259,721
iFinix Futures, Inc.   2013 CFTC $1,260,000
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Monex Securities Inc.   2014 FINRA $1,275,000
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Citigroup Citigroup financial services 2012 FINRA $1,279,106
Centaurus Financial, Inc.   2021 SEC $1,281,396
GPS Partners, LLC   2010 SEC $1,284,171
Visionary Group Holdings, Inc.   2011 CA-DFPI $1,285,750
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
Perfection PR Firm LLC   2020 CFTC $1,296,572
Meta Funding, LLC   2007 AZ-SEC $1,299,900
J. Hansen Investments, LLC   2013 CFTC $1,300,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Falconhead Capital   2009 NY-AG $1,300,000
Barclays Capital Inc. Barclays financial services 2016 FINRA $1,300,000
Mutual Service Corporation   2005 FINRA $1,300,000
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Appaloosa Management L.P.   2010 SEC $1,304,523
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
National Planning Corporation Inc.   2005 FINRA $1,308,000
Colonial Tidewater Realty Income Partners   2015 SEC $1,319,386
Fieldstone Financial Management Group LLC   2019 SEC $1,322,971
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
FFH Holdings, LLC   2019 MO-SEC $1,329,157
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
Gartmore Investment Limited   2010 SEC $1,347,251
Gold Distributors, Inc.   2014 CFTC $1,349,066
Innovative Capital Management, LLC   2008 CFTC $1,350,000
Pacific Air Transport   2001 SEC $1,364,692
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 FINRA $1,373,000
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
Harbinger Capital Partners, LLC   2012 SEC $1,378,763
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC   2020 CT-SEC $1,390,000
FX & Beyond Corporation   2018 SEC $1,392,656
StateTrust Investments, Inc.   2013 FINRA $1,398,000
Madison Dean, Inc.   2013 CFTC $1,400,000
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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.