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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Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
Diamond Ventures LLC   2011 CFTC $4,000,000
Forex Auto Profits, LLC   2011 CFTC $2,900,000
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
Strongbow Investments GP, LLC   2010 CFTC $2,800,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Prestige Ventures Corporation and Federated Management Group, Inc.   2010 CFTC $26,000,000
CRE Capital Corp.   2010 CFTC $25,700,000
M25 Investments, Inc. and M37 Investments, LLC   2010 CFTC $16,200,000
Trigon Group LLC   2010 CFTC $41,200,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Triland USA Inc.   2010 CFTC $725,000
Alaron Trading Corporation   2010 CFTC $260,000
Billion Coupons, Inc.   2010 CFTC $6,200,000
TRP Advisory Group, Inc. and Traders East, Inc.   2010 CFTC $150,000
Financial Investments, Inc.   2010 CFTC $130,000
Gage's Fertilizer & Grain, Inc.   2010 CFTC $175,000
McCall Business Group, LLC and MBG Global, LLC   2010 CFTC $3,800,000
Moore Capital Management, LP   2010 CFTC $25,000,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
Guardian Futures, Inc.   2010 CFTC $260,000
First Capitol Futures Group   2010 CFTC $20,300,000
One World Capital Group   2010 CFTC $520,000
Pressio Capital Management, LP   2010 CFTC $1,000,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P.   2010 CFTC $500,000
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Cadent Financial Services LLC   2009 CFTC $120,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
Princeton Global Management Ltd. and Princeton Economics International Ltd.   2009 CFTC $27,000,000
Safevest LLC   2009 CFTC $25,000,000
Cocoon Trade, Inc   2009 CFTC $1,542,787
Walsh Trading Inc.   2009 CFTC $50,000
Renaissance Asset Management LLC   2009 CFTC $5,800,000
INH-Interholding SA   2008 CFTC $6,075,841
Innovative Capital Management, LLC   2008 CFTC $1,350,000
Linuxor Asset Management LLC   2008 CFTC $200,000
Alliance Development Company   2008 CFTC $2,200,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, Inc.   2008 CFTC $12,000,000
Aurifex Commodities Research Company   2008 CFTC $150,000
4NExchange   2008 CFTC $480,000
Mansur Capital Corporation   2008 CFTC $75,000
Persistent Edge Management, LLC   2008 CFTC $120,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC   2008 CFTC $135,000
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Rosenthal Collins Group, LLC   2008 CFTC $310,000
Philadelphia Alternative Asset Management Co.   2008 CFTC $8,800,000
First Lexington Group   2008 CFTC $2,466,063
Alaron Trading Corporation   2008 CFTC $299,000
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
Forefront Investment Corporation   2008 CFTC $260,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Executive Commodity Corp.   2008 CFTC $23,910,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
Supama International DMCC   2008 CFTC $164,680
Commercial Hedge Services, Inc.   2007 CFTC $325,000
FxTrade Financial, LLC   2007 CFTC $3,466,000
Millenium Trading Group, LLC   2007 CFTC $3,861,516
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
International Currency Exchange, Inc.   2007 CFTC $1,650,000
Banque CIAL   2007 CFTC $80,000
Longboat Global Funds Management   2007 CFTC $10,317,183
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, American Futures and Options Exchange, Metro Financials, and American Futures and Options Trading C   2007 CFTC $15,524,957
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation   2007 CFTC $16,403,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   2007 CFTC $21,819,785
Man Financial Inc.   2007 CFTC $316,900
Premium Income Corp.   2007 CFTC $123,000,000
Acceleration Capital, LLC   2007 CFTC $218,000
Falco & Stevens, Inc.   2007 CFTC $4,724,607
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services   2006 CFTC $19,555,041
Worldwide Commodity Corporation and South Coast Commodities, Inc.   2006 CFTC $14,700,000
Axess Trading Co., Inc.   2006 CFTC $569,437
International Investments Holdings Corp.   2006 CFTC $12,120,000
Risk Capital Trading Group, Inc   2006 CFTC $22,000,000
COES FX Clearing, Inc.   2006 CFTC $246,601
Nexgen Software Systems, Inc.   2006 CFTC $20,000
Wall Street Underground, Inc.   2006 CFTC $9,500,000
First American Investment Services, Inc.   2006 CFTC $8,983,388
Veras Investment Partners, LLC   2005 CFTC $500,000
Trade Exchange Network Limited   2005 CFTC $150,000
Armajaro Trading Limited   2005 CFTC $35,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Allegheny Gulf Investments, Inc   2005 CFTC $440,000
Hencorp Becstone Futures LC   2005 CFTC $50,000
E Net Speculation Ltd.   2004 CFTC $50,000
Fimat International Banque SA   2004 CFTC $25,000
Refco Overseas Limited   2004 CFTC $25,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
United Energy, Inc.   2004 CFTC $20,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
International Financial Services (New York) LLC   2004 CFTC $100,000,000
Olam International Limited   2004 CFTC $20,000
Boston Trading Advisors, LLC   2003 CFTC $10,000
Currency Trading Systems   2001 CFTC $1,521,000
Peregrine Financial Group, Inc.   2000 CFTC $90,000
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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.