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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
ECP Manager LP   2019 SEC $122,656
BrixInvest, LLC   2019 SEC $300,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Hefren-Tillotson, Inc.   2019 SEC $379,965
Strong Investment Management   2019 SEC $1,061,157
Strategic Planning Group, Inc.   2019 SEC $200,000
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
HCR Wealth Advisors   2019 SEC $220,000
The Bancorp, Inc.   2019 SEC $1,400,000
Sigma Planning Corp.   2019 SEC $2,546,718
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Vandham Securities Corp.   2019 SEC $200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC   2019 SEC $250,000
ED Capital Management, LLC   2019 SEC $75,000
Bio Defense Corp.   2019 SEC $37,475,717
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Enigma MPC   2020 SEC $500,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
Blockchain of Things Inc.   2019 SEC $250,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Palm Beach Atlantic Financial Group, LLC   2019 SEC $75,000
Global Corporate Strategies LLC   2019 SEC $4,120,000
Sica Wealth Management, LLC   2020 SEC $378,693
Fortress Investment Management, LLC   2020 SEC $104,097
Lone Star Value Management LLC   2020 SEC $100,000
BPU Investment Management, Inc.   2020 SEC $927,107
Cannell Capital, LLC   2020 SEC $150,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Bluefin Trading, LLC   2019 SEC $303,638
Critical Trading, LLC   2019 SEC $219,092
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
Argo Group International Holdings, Ltd.   2020 SEC $900,000
TSP Capital Management Group, LLC   2020 SEC $60,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
1Globe Capital, LLC   2020 SEC $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Biltmore International Corporation   2020 SEC $125,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Eagle Strategies LLC   2020 SEC $101,090
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
Boenning & Scattergood, Inc.   2020 SEC $205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
Naya Ventures, LLC   2020 SEC $40,000
BMA Securities, LLC   2020 SEC $333,537
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Navellier & Associates, Inc.   2020 SEC $37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
International Investment Group, LLC   2020 SEC $35,000,000
The Lighthouse Events, LLC   2020 SEC $3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc.   2020 SEC $236,314
Hologram USA Networks Inc.   2020 SEC $22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
ICOBox   2020 SEC $16,059,428
Northern Trust Hedge Fund Services LLC Northern Trust financial services 2020 SEC $167,629
WCAS Management Corporation   2020 SEC $100,000
Gilder Gagnon Howe & Co. LLC   2020 SEC $1,700,000
Navian Capital Securities LLC   2020 SEC $40,000
Coordinated Capital Securities, Inc.   2020 SEC $581,961
Unikrn Inc.   2020 SEC $6,100,000
Park View School, Inc.   2020 SEC $30,000
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Graham, Bordelon and Golson & Gilbert, Inc.   2020 SEC $176,399
SQN Capital Management, LLC   2020 SEC $75,000
Signature Financial Services, Ltd.   2020 SEC $276,580
National Financial Services LLC   2020 SEC $2,461,193
Vstock Transfer LLC   2020 SEC $65,000
NPB Financial Group, LLC   2020 SEC $1,050,188
SCF Investment Advisors, Inc.   2020 SEC $767,192
Boon Tech   2020 SEC $5,600,334
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
Rialto Capital Management, LLC   2020 SEC $350,000
WBI Investments Inc.   2020 SEC $750,000
Millington Securities Inc.   2020 SEC $250,000
Birinyi Associates, Inc.   2020 SEC $100,000
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.