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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Paradigm Capital Management, Inc.   2014 SEC $2,181,771
UASNM, Inc.   2014 SEC $100,000
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp.   2014 SEC $1,583,942
Ironbird Capital LLC   2014 SEC $335,435
HD Mile High Marketing, Inc.   2014 SEC $250,076
Ruby Corporation   2014 SEC $1,100,000
Lightspeed Trading LLC   2014 SEC $478,216
The Phoenix Companies, Inc.   2014 SEC $375,000
PHL Variable Insurance Company   2014 SEC $375,000
BDL Manager LLC   2014 SEC $3,297,740
Worldwide Capital, Inc.   2014 SEC $7,253,726
Axius Holdings, LLC   2014 SEC $60,881
Securities Compliance Group, Ltd.   2018 SEC $27,655
Revolutionary Concepts, Inc.   2018 SEC $25,000
SEI Investments Global Funds Services   2018 SEC $225,000
Altaba Inc. Altaba diversified 2018 SEC $35,000,000
WCAS Management Corporation?   2018 SEC $778,819
Arlington Capital Management, Inc.   2018 SEC $125,000
Jim Poe and Associates, Inc.   2013 SEC $35,000
West Coast Asset Management, Inc.   2013 SEC $56,186
John Thomas Financial Inc.   2013 SEC $500,000
Mazuma Corporation et al.   2013 SEC $1,449,978
Agamas Capital Management, LP   2013 SEC $250,000
Piper Jaffray & Co. Piper Sandler financial services 2013 SEC $300,000
Fry Hensley and Company   2013 SEC $894,657
Ox Trading, LLC, et al.   2013 SEC $50,000
Knight Capital Americas LLC Virtu Financial financial services 2013 SEC $12,000,000
Manarin Investment Counsel, Ltd., et al.   2013 SEC $1,052,747
Commonwealth Income & Growth Fund, Inc.   2013 SEC $367,656
Sarkauskas and Associates, Inc.   2013 SEC $449,837
North East Capital, LLC   2013 SEC $346,132
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
Goelzer Investment Management, Inc.?   2013 SEC $463,793
Comprehensive Capital Management, Inc.   2013 SEC $120,000
Rosenberg Rich Baker Berman & Company   2013 SEC $37,000
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. financial services 2013 SEC $10,000,000
Institutional Shareholder Services Inc. Genstar Capital private equity (including portfolio companies) 2013 SEC $300,000
Noonan Capital Management, LLC   2013 SEC $104,825
Northern Lights Compliance Services, LLC, et al.   2013 SEC $50,000
HarborLight Capital Management, LLC?   2013 SEC $270,615
Foxhall Capital Management, Inc   2013 SEC $122,430
Banco Comercial Portugues, S.A.   2013 SEC $1,892,058
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 SEC $2,886,677
Oxford Investment Partners, LLC   2013 SEC $274,295
Ardsley Advisory Partners   2013 SEC $815,071
IMC Asset Management, Inc.   2013 SEC $30,000
Egan-Jones Ratings Company   2013 SEC $30,000
MiddleCove Capital, LLC   2013 SEC $788,118
New America High Income Fund, Inc.   2012 SEC $413,399
New England Investment and Retirement Group, Inc.   2012 SEC $200,000
Aladdin Capital Management LLC   2012 SEC $1,618,831
Edelweiss Financial Services Limited   2012 SEC $568,347
JM Financial Institutional Securities Private Limited   2012 SEC $443,545
Motilal Oswal Securities Limited   2012 SEC $821,594
Ambit Capital Pvt. Ltd.   2012 SEC $30,910
EM Capital Management, LLC?   2012 SEC $20,000
BTS Asset Management, Inc.   2012 SEC $200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC   2012 SEC $200,000
JCSD Capital, LLC   2012 SEC $94,222
Prescient Capital Partners, Ltd.   2012 SEC $29,968
Stock Markets Institute, Inc.   2012 SEC $75,000
Western Pacific Capital Management, LLC   2012 SEC $781,940
JP Turner & Company, LLC   2012 SEC $416,051
Consultiva Internacional, Inc.   2012 SEC $35,000
Wesley Capital Management, LLC   2012 SEC $232,289
Delaware Asset Advisers   2012 SEC $4,814,520
Centaur Management Co. LLC   2012 SEC $364,322
Calhoun Asset Management, LLC   2012 SEC $50,000
Harbinger Capital Partners, LLC   2012 SEC $1,378,763
Sharespost, Inc.   2012 SEC $80,000
EB Financial Group, LLC   2012 SEC $310,499
Mercury Capital   2012 SEC $45,747
1st Discount Brokerage, Inc.   2012 SEC $40,000
AXA Advisors, LLC Equitable Holdings financial services 2012 SEC $100,000
Investment Placement Group   2011 SEC $4,072,027
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Hanes Morgan & Co., Inc   2011 SEC $100,000
Feltl & Company, Inc.   2011 SEC $203,172
Asset Advisors, LLC   2011 SEC $20,000
FTN Financial Securities Corp.   2011 SEC $1,873,636
Pipeline Trading Systems LLC   2011 SEC $1,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
Gilford Securities, Incorporated   2011 SEC $612,113
Global Sentry Equity Transfer, Inc.   2011 SEC $375,000
Fontana Capital, LLC   2011 SEC $984,790
Brookside Capital, LLC   2011 SEC $2,124,079
Level Global Investors, L.P.   2011 SEC $3,244,171
Pegasus Investment Management, LLC   2011 SEC $95,469
Wunderlich Securities, Inc.   2011 SEC $532,624
Legend Securities, Inc.   2011 SEC $50,000
Aristeia Capital, LLC   2011 SEC $1,762,776
JSK Associates, Inc.   2011 SEC $60,000
Securities Transfer Corporation   2011 SEC $10,000
Envision Capital Management, Ltd.   2011 SEC $100,000
Alpine Woods Capital Investors, LLC   2011 SEC $650,000
Horseman Capital Management, L.P.?   2011 SEC $1,484,952
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Gartmore Investment Limited   2010 SEC $1,347,251
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.