Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Augustine Capital Management LLC   2017 SEC $878,305
Aurifex Commodities Research Company   2008 CFTC $150,000
Auriga Global Investors, Sociedad de Valores, S.A.   2015 SEC $618,401
Aurora Investment Management Group, LLC   2015 MD-SEC $20,000
Austin & Associates   2006 WA-FIN $30,000
Australia and New Zealand Banking Group Ltd.   2015 CFTC $150,000
Australia and New Zealand Banking Group Ltd.   2012 CFTC $350,000
Authotecq Systems, Inc.   2012 MN-FIN $20,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC   2014 MD-SEC $1,500,000
Avalon Investment & Securities Group, Inc.   2013 OR-FIN $5,000
Avenue Capital Investment, Inc.   2003 ID-SEC $25,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Aviva Investors Americas, LLC   2016 SEC $250,000
AXA Advisors LLC AXA financial services 2011 OR-FIN $80,000
AXA Advisors, LLC AXA financial services 2012 SEC $100,000
AXA Advisors, LLC AXA financial services 2009 SEC $50,000
AXA Advisors, LLC AXA financial services 2019 SEC $1,134,152
AXA Advisors, LLC AXA financial services 2010 MO-SEC $92,015
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
Axcess Automation LLC and Axcess Fund Management LLC   2012 CFTC $41,000,000
Axess Trading Co., Inc.   2006 CFTC $569,437
Axiom Capital Management, Inc.   2010 SEC $60,000
Axius Holdings, LLC   2014 SEC $60,881
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC   2019 AZ-SEC $27,801,783
Azarmehr Law Group   2015 SEC $57,965
Aztec Capital, LLC   2013 CA-DBO $10,125
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
B&B Equity Group LLC et al.   2011 MO-SEC $2,650,649
B&B Worm Farm   2002 OK-SEC $16,400
B.B. Financial Services Group, Inc.   2004 AZ-SEC $174,050
B.C. Ziegler and Company   2015 SEC $250,000
B.T.A. International, Inc.   2018 IL-SEC $117,000
B.Y.B. Entertainment, L.L.C.   2010 AZ-SEC $104,524
Bachrach Asset Management Inc.   2018 SEC $75,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Badge Trading LLC   2016 CFTC $280,000
Baggy Stuff, Inc.   2000 FL-OFR $325,000
BAIC, Inc.   2019 AZ-SEC $2,004,649
BAK Ventures, Inc.   2011 OR-FIN $20,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
Baldwin Wilson Development Corp.   2009 IN-SEC $426,800
Ballentine Partners LLC   2012 NH-BSR $175,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Baltic Fund   2018 MO-SEC $22,760
Bambu Desserts and Drinks, Inc.   2016 MD-SEC $5,000
Bambu IP, LLC, Bambu Desserts & Drinks, Inc.   2016 VA-SEC $84,500
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Banc De Binary   2013 IN-SEC $10,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Banc of America Investment Services, Inc. Bank of America financial services 2009 SEC $150,000
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Banc of America Securities LLC Bank of America financial services 2008 MULTI-AG $4,550,000,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
Banco Comercial Portugues, S.A.   2013 SEC $1,892,058
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo financial services 2011 NJ-AG $1,900,000
Bancroft Ventures Ltd.   2006 CA-DBO $14,300,000
Bander Law Firm, PLLC   2015 SEC $273,184
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
Bank of America Bank of America financial services 2010 SEC $150,000,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Bank of America Bank of America financial services 2012 MULTI-AG $2,430,000,000
Bank of America Bank of America financial services 2013 MULTI-AG $500,000,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Bank of America Corporation Bank of America financial services 2014 SEC $20,000,000
Bank of America Merrill Lynch Bank of America financial services 2018 NY-AG $42,000,000
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2013 FL-AG $28,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
Bank Watch   2010 OR-FIN $220,000
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
Bankers Life and Casualty Co. CNO Financial financial services 2015 MO-SEC $102,178
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial financial services 2012 MULTI-FIN $10,641,000
Banner Co-Op, Inc.   2020 MI-SEC $30,000
Banque CIAL   2007 CFTC $80,000
Bantry Bay Capital, LLC   2017 SEC $100,000
Banyan Partners, LLC   2016 SEC $200,000
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Barcelona Strategies LLC   2018 SEC $542,120
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
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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.