Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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 Agency Penalty Amountsort icon
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
ACJ Capital, Inc.   2012 CFTC $3,700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 FINRA $3,750,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services 2007 FINRA $3,750,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
McCall Business Group, LLC and MBG Global, LLC   2010 CFTC $3,800,000
Yankee Financial Group, Inc.   2005 FINRA $3,800,000
VOS Capital Management, LLC   2020 CFTC $3,813,875
Direct Investment Products, Inc.   2015 CFTC $3,851,633
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Millenium Trading Group, LLC   2007 CFTC $3,861,516
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
Fifth Street Management, LLC   2018 SEC $3,983,660
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
High Point Wealth Management   2018 MD-SEC $3,990,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Invers Forex, LLC   2012 CFTC $4,000,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Hazan Capital Management LLC   2009 SEC $4,000,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
New York Mercantile Exchange (NYMEX)   2020 CFTC $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services 2016 FINRA $4,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2014 FINRA $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2014 FINRA $4,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2014 FINRA $4,000,000
Wells Fargo Securities, LLC Wells Fargo financial services 2014 FINRA $4,000,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
KA Investments, Inc.   2018 ID-SEC $4,011,806
H.D. Vest Investment Services   2005 FINRA $4,015,000
Investment Placement Group   2011 SEC $4,072,027
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Global Corporate Strategies LLC   2019 SEC $4,120,000
Milan Group Inc.   2013 SEC $4,141,148
Fremont Investment Advisors   2004 SEC $4,146,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Verto Capital Management   2017 SEC $4,158,517
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Hughes Energy Inc.   2009 USAO $4,261,211
China Shenghai Investment Management Limited   2014 SEC $4,300,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Metropolitan Investment Securities, Inc.   2003 FINRA $4,300,000
CDH & Affiliates, Inc.   2004 SEC $4,317,616
Red Mountain Funding, Inc.   2015 AZ-SEC $4,344,885
Trickling Springs Creamery, LLC   2020 PA-BKG $4,375,000
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
One Vision Children's Foundation, Inc.   2003 AZ-SEC $4,407,140
First Chicago Capital Markets, Inc.   2000 FINRA $4,420,000
Marbury Advisors Inc.   2017 CFTC $4,441,652
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
SG Americas Securities, LLC Societe Generale financial services 2005 FINRA $4,478,000
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
New York Stock Exchange IntercontinentalExchange Group financial services 2014 SEC $4,500,000
First Capital Savings and Loan   2011 CFTC $4,500,000
William Blair & Company, L.L.C.   2017 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
Acuity Lending Corporation   2013 OR-FIN $4,500,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $4,500,000
Wachovia Securities Wells Fargo financial services 2009 FINRA $4,500,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Tower Square Securities   2002 FINRA $4,500,000
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
VOYA Financial Advisors Inc. Voya Financial financial services 2016 FINRA $4,550,000
Haidar Capital Management, LLC   2007 SEC $4,580,000
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Kelly's Mobile Home Sales, Inc.   2008 AZ-SEC $4,592,939
International Foreign Currency   2012 CFTC $4,600,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2019 FINRA $4,600,000
MJG Enterprises, Inc. dba Mike's Lock Club   2010 AZ-SEC $4,609,627
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
Klytie's Developments, Inc. et al.   2010 CO-SEC $4,667,724
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
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.