Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$11,679,855,33361
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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
SII Investments, Inc.   2018 MA-SEC $50,000
SII Investments, Inc.   2005 FINRA $658,500
SII Investments, Inc.   2004 FINRA $100,000
Silacon Corp.   2012 MN-FIN $7,500
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Silver Oak Securities, Inc.   2016 CT-SEC $35,000
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC   2021 CFTC $23,506,392
Silver Star FX, LLC et al.   2019 CFTC $75,000
Silversage Advisors   2019 SEC $342,062
SilverShore Investment Group   2009 IL-SEC $5,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
Simon Greene Investment Advisory Firm   2018 IL-SEC $90,000
Simply Smart Homes, LLC and Smart Enterprises, LLC   2017 AZ-SEC $123,750
Simpson Capital Management, Inc.   2009 SEC $6,650,000
Simpson Capital Management, Inc.   2014 CA-DFPI $5,000
Simpson Hughes Financial, LLC   2016 SEC $287,119
Sine Capital, Inc.   2016 FL-OFR $5,000
Sir Mortgage & Finance of Arizona, Inc.   2010 AZ-SEC $90,000
Sirios Capital Management, L.P.?   2008 SEC $287,058
Six Figure Club   2013 MD-SEC $10,000
SIX Financial Information USA Inc.   2017 SEC $107,707
SK Group Inc.   2013 PA-BKG $8,000
SK Madison Commodities, LLC   2014 CFTC $3,523,846
Skamp Investments LLC et al.   2005 MO-SEC $10,720
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc.   2017 CO-SEC $50,000
Skin Appeal Day Spa, Inc.   2010 VA-SEC $244,100
Skrimp Shack LLC   2020 VA-SEC $25,000
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
Sky Watch Media, Inc.   2012 CT-SEC $50,000
Skylink Telecommunications Corp.   2001 OR-FIN $25,000
Skytec Security Midwest LLC and Skytec Security Operations LLC   2021 MO-SEC $488,669
Skytrace, Inc.   2019 AZ-SEC $147,500
Slagel Investment Management   2019 VA-SEC $7,500
SLB Creations, Inc.   2020 MI-SEC $10,000
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C.   2020 AZ-SEC $60,000
SmartWear Technologies, Inc.   2012 CA-DFPI $21,420,639
SMH Capital Inc.   2008 TX-SEC $30,000
SMH Capital Inc.   2008 FINRA $450,000
SMI Management & Research LLC   2015 ME-SEC $113,512
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
Smith Barney Morgan Stanley financial services 2007 NJ-BOS $5,000,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
Smith Hayes Financial Services Corporation   2015 SEC $40,000
Smith Rock Race Group, LLC   2014 OR-FIN $5,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
SMP Bank and Epaster Investments, Ltd.   2012 CFTC $980,000
SMP Investments I, LLC   2015 SEC $63,750
SNC Asset Management, Inc. and SNC Investments, Inc.   2012 CFTC $5,000,000
SNC Capital Management Corporation d/b/a RCM Securities   2020 VA-SEC $5,000
Sneva Alliance   2007 AZ-SEC $115,282
SoBell Corp.   2019 AZ-SEC $779,450
Social Automotive Management Services, LLC et al.   2019 MO-SEC $561,629
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
SoFi Wealth, LLC   2021 SEC $300,000
Sofinnova Ventures, Inc.   2018 SEC $120,000
Sogemin Metals Inc.   2000 CFTC $500,000
Solace Investments, LLC   2020 CT-BKG $300,000
Solace Investments, LLC   2020 CT-SEC $300,000
Solar Evolution, Inc.   2012 MO-SEC $25,985
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DFPI $52,047
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Solium Financial Services LLC Morgan Stanley financial services 2020 NH-BSR $90,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
Solium Financial Services LLC Morgan Stanley financial services 2020 FL-OFR $79,045
Solium Financial Services LLC Morgan Stanley financial services 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley financial services 2020 SD-SEC $5,750
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
Solium Financial Services LLC Morgan Stanley financial services 2020 CO-SEC $69,338
Solium Financial Services LLC Morgan Stanley financial services 2020 IL-SEC $11,385
Solium Financial Services LLC Morgan Stanley financial services 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MT-SEC $14,700
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
Solus Alternative Asset Management   2014 SEC $105,495
SoluTech, Inc.   2020 SEC $25,000
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
Solutions Planning Group, Inc.   2005 MD-SEC $37,500
Sommers Financial Management, LLC   2021 WA-SEC $30,000
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.