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 Yearsort icon Agency Penalty Amount
Tiber Creek Corp.   2019 SEC $209,797
Account Management LLC   2019 SEC $100,000
ADM Investor Services Inc. Archer Daniels Midland agribusiness 2019 CFTC $250,000
AOC Securities LLC   2019 SEC $250,000
AR Capital LLC   2019 SEC $53,000,000
Bitqyck Inc.   2019 SEC $8,375,617
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
Canaccord Genuity LLC   2019 SEC $250,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Dale Scott & Company, Inc.   2019 SEC $25,000
DFRF Enterprises LLC and DFRF Enterprises, LLC   2019 SEC $19,390,352
Eagle Market Makers, Inc.   2019 CFTC $350,000
Elephas Investment Management Ltd.   2019 CFTC $160,000
EMS Capital LP   2019 SEC $317,415
Equal Earth, Inc.   2019 SEC $7,655,000
Essex Futures   2019 CFTC $500,000
Facebook Inc. Facebook information technology 2019 SEC $100,000,000
Fieldstone Financial Management Group LLC   2019 SEC $1,322,971
Financial Sherpa, Inc.   2019 SEC $436,861
Foundations Asset Management, LLC   2019 SEC $363,947
Guaranteed Investigations, Inc.   2019 SEC $16,846
ICO Rating   2019 SEC $268,998
IFS Securities   2019 SEC $50,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2019 SEC $42,700,000
Interactive Brokers, LLC Interactive Brokers Group financial services 2019 NJ-AG $100,000
Korea Exchange, Inc.   2019 CFTC $150,000
Laurel Wealth Advisors, Inc.   2019 SEC $100,000
Lefavi Wealth Management, Inc.   2019 SEC $1,288,735
LPL Financial LLC LPL Financial financial services 2019 MULTI-AG $25,848,000
Lucrative Pips Corporation   2019 CFTC $2,694,799
Merrill Lynch Commodities, Inc. Bank of America financial services 2019 CFTC (*) $24,900,000
Morgan Stanley Morgan Stanley financial services 2019 CA-AG $150,000,000
Mosaic Capital, LLC   2019 SEC $250,000
MVP Manager LLC   2019 SEC $249,739
Nomura Securities International Inc. Nomura financial services 2019 SEC $26,400,000
Omega Protein Corporation Cooke Inc. food products 2019 SEC $400,000
School Services of California, Inc.   2019 SEC $10,000
Spring Hill Capital Markets, LLC, et al.   2019 SEC $485,803
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
The Kane Capital Investment Group, LLC   2019 CFTC $1,232,510
The Options Clearing Corporation   2019 SEC $15,000,000
The Parrish Group, LLC   2019 SEC $184,767
TherapeuticsMD Inc.   2019 SEC $200,000
Third Point LLC   2019 FTC $609,810
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Vision Financial Markets LLC   2019 CFTC $200,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Zilmil, Inc.   2019 CFTC $22,854,289
BGC Financial, L.P. BGC Partners financial services 2019 CFTC $3,000,000
Wells Fargo Bank, N.A. Wells Fargo financial services 2019 CFTC $14,475,000
Mitsubishi Corporation RtM Japan Ltd. Mitsubishi Group diversified 2019 CFTC $500,000
Tower Research Capital LLC   2019 CFTC $67,493,849
Silver Star FX, LLC et al.   2019 CFTC $75,000
Blue Bit Banc et al.   2019 CFTC $3,346,405
XBT Corp. SARL d/b/a First Global Credit   2019 CFTC $100,000
Allied Markets, LLC   2019 CFTC $2,400,000
Omega Knight 2, LLC   2019 CFTC $15,257,028
Upstream Energy Services LLC   2019 CFTC $75,000
Treasury Vault, LLC   2019 CFTC $75,000
Fabio Bretas de Freitas and Phy Capital Investments LLC   2019 CFTC $22,986,190
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners financial services 2019 CFTC $10,000,000
Mitsubishi International Corporation Mitsubishi Group diversified 2019 CFTC $400,000
Belvedere Trading LLC   2019 CFTC $1,100,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services financial services 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
NatWest Markets Plc NatWest Group PLC financial services 2019 CFTC $850,000
Northern Trust Company Northern Trust financial services 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC financial services 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 CFTC $5,000,000
Classic Energy LLC   2019 CFTC $1,500,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
Intergrain S.A.   2019 CFTC $175,000
Hard Eight Futures, LLC   2019 CFTC $1,750,000
ARMKAT LLC   2019 CFTC $140,000
Heraeus Metals New York LLC Heraeus diversified 2019 CFTC $130,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
Phillip Capital Inc.   2019 CFTC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 CFTC $300,000
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Channing Capital Management, LLC   2019 SEC $50,000
Portfolio Advisors Alliance   2019 SEC $1,259,721
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Golden California Regional Center, LLC   2019 SEC $50,295,232
Capital Source Lending LLC   2019 SEC $5,720,451
XBT Corp Sarl dba First Global Credit   2019 SEC $131,952
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Northwest Biotherapeutics, Inc.   2019 SEC $250,000
Lek Securities Corp.   2019 SEC $1,525,892
PlexCorps   2019 SEC $4,911,613
Block.one   2019 SEC $24,000,000
Bill Few Associates Inc.   2019 SEC $2,398,304
Cargile Investment Management Inc.   2019 SEC $70,140
Comprehensive Capital Management Inc.   2019 SEC $93,631
Equity Services Inc.   2019 SEC $587,017
Essex Financial Services Inc.   2019 SEC $645,000
Folger Nolan Fleming Douglas Capital Management Inc.   2019 SEC $59,478
Henley & Company Wealth Management LLC   2019 SEC $36,866
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.