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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$13,547,438,962115
UBS$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
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
Sandell Asset Management Corp.   2007 SEC $8,097,494
Sanders Morris Harris Inc.   2014 MS-SEC $35,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
Sands Brothers Asset Management LLC   2010 SEC $60,000
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
Sankaty Advisors, LLC   2014 SEC $68,000
Santa Rita Partners, Inc.   2011 CA-DFPI $33,846
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Santander Securities LLC Banco Santander financial services 2019 SEC $270,539
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
Santander Securities of Puerto Rico Banco Santander financial services 2011 FINRA $2,000,000
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
Santos, Postal & Company, P.C.   2016 SEC $29,076
Sarkauskas and Associates, Inc.   2013 SEC $449,837
Sarker Investments LLC   2010 TX-SEC $5,000
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Sauberan & Company LLC   2021 SEC $10,000
Savannah Solar International, Inc. and Savannah Solar International, LLC   2021 VA-SEC $61,611
Savant Capital Management, Inc.   2008 IL-SEC $11,500
Save.Win LLC   2020 TN-SEC $23,210
Saves, Inc.   2015 WA-FIN $5,000
SAXBY'S COFFEE, INC.   2008 VA-SEC $14,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
Saxony Capital Management LLC   2019 SEC $230,220
SB Financial Group   2020 WI-FIN $25,000
SBG Forever, Inc. et al.   2013 IN-SEC $17,465
SBU, Inc.   2003 IL-SEC $20,000
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
Scanlan Realty & Investments, Ltd.   2012 IL-SEC $20,000
Scanlon & Associates   2001 FL-OFR $25,000
Scanwood Limited Inc. and AOS Inc.   2019 NH-BSR $92,342
SCDC Management Company, LLC   2010 MD-SEC $15,000
SCF Investment Advisors, Inc.   2020 SEC $767,192
Schaefer Wealth Management, Inc.   2018 MO-SEC $20,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Schmidt Baking Distribution, LLC   2019 MD-SEC $32,500
Schneider Downs Wealth Management Advisors, LP   2016 SEC $100,000
Schonfeld & Company LLC   2006 FINRA $175,000
School Business Consulting, Inc   2016 SEC $30,000
School Services of California, Inc.   2019 SEC $10,000
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Schultz Investment Advisors, Inc.   2005 SEC $114,534
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-BKG $10,510
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Schuster Financial LLC   2020 MN-FIN $20,000
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services 2004 FINRA $70,000
Scorsesi Makeup, LLC   2016 MI-SEC $20,000
Scotia Capital Inc. Scotiabank financial services 2010 CFTC $250,000
SCOTT & STRINGFELLOW LLC   2011 VA-SEC $25,000
Scott & Stringfellow, Inc.   2000 FINRA $393,263
Scott Schultz Closed-End Funds, Inc.   2018 MI-SEC $10,000
Scottrade Inc. Charles Schwab Corp. financial services 2016 TX-SEC $100,000
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $2,600,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $300,000
Scottrade, Inc. Charles Schwab Corp. financial services 2010 FINRA $200,000
Scottrade, Inc. Charles Schwab Corp. financial services 2005 FINRA $250,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Scottsdale Financial Funding Group, LLC   2003 AZ-CC $3,391,570
Scudder Distributors, Inc.   2007 FINRA $425,000
SDC Montana Consulting, LLC   2013 AZ-CC $25,000
SE Ohio Shale & Oriskany Development   2018 CT-SEC $10,000
Seacoast Investor Services, Inc.   2012 FL-OFR $180,300
Seacret Direct, LLC   2014 MT-SEC $5,000
Seaniemac International Ltd.   2014 SEC $50,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Seascape Management Co., LLC   2007 ID-SEC $23,000
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.