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$13,547,438,962115
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
Birinyi Associates, Inc.   2020 SEC $100,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Celadon Financial Group LLC   2020 SEC $125,000
IRTH Communications, LLC   2020 SEC $74,233
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
First Western Capital Management Company   2020 SEC $200,000
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
Plutus Technologies Philippines Corp.   2020 SEC $150,000
BNB Wealth Management, LLC   2020 SEC $74,417
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
Telegram Group Inc.   2020 SEC $18,500,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
Vereit, Inc. Vereit Inc. real estate 2020 SEC $8,000,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Spiderworx Media LLC   2020 SEC $60,000
An L.A. Minute LLC   2020 SEC $100,000
Winston Reed Investments LLC   2020 SEC $255,850
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $603,776
Summit Financial Group, Inc.   2020 SEC $1,206,882
Capitol Securities Management, Inc.   2020 SEC $203,414
Tradenet Capital Markets Ltd.   2020 SEC $130,000
EDG Management Company, LLC   2020 SEC $1,026,642
Kik Interactive Inc.   2020 SEC $5,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2020 SEC $5,000,000
Great Plains Trust Company, Inc.   2020 SEC $300,000
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners financial services 2020 SEC $1,400,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.   2020 SEC $250,000
Manitex International, Inc. et al.   2020 SEC $485,000
Kroll Bond Rating Agency Inc.   2020 SEC $2,010,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $35,000,000
Fiat Chrysler Automobiles N.V. Stellantis motor vehicles 2020 SEC $9,500,000
Fulton Financial Corporation Fulton Financial financial services 2020 SEC $1,500,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Hancock Whitney Investment Services, Inc.   2020 SEC $2,337,792
Funding the Gap, LLC   2020 SEC $30,000
SoluTech, Inc.   2020 SEC $25,000
Precigen, Inc. Precigen agribusiness 2020 SEC $2,500,000
Finser International Corporation   2020 SEC $70,000
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
Morgan Wilshire Securities, Inc.   2020 SEC $179,017
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
Palmer Square Capital Management LLC   2020 SEC $450,000
RCI Hospitality Holdings, Inc.   2020 SEC $400,000
Bolton Securities Corporation   2021 SEC $224,994
World Tree Financial, LLC   2021 SEC $647,947
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Premier Holding Corp.   2021 SEC $9,691,500
Lightspeed Trading, LLC   2021 SEC $100,000
Wireline, Inc.   2021 SEC $650,000
ConTXT, Inc   2021 SEC $571,153
OTR, Inc.   2020 SEC $10,000
Genesis E&P, Inc.   2020 SEC $192,768
Tierion, Inc.   2020 SEC $250,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
First Midstate Inc.   2020 SEC $175,000
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
Virtu ITG Canada Corp.   2020 SEC $200,000
Cormark Securities Inc.   2020 SEC $800,000
ShipChain, Inc.   2020 SEC $2,050,000
India Globalization Capital, Inc.   2020 SEC $175,000
Robinhood Financial LLC Robinhood Markets financial services 2020 SEC $65,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Belden Inc. Belden industrial equipment 2020 SEC $650,000
ICE Data Pricing & Reference Data LLC   2020 SEC $8,000,000
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Applied BioSciences Corp.   2020 SEC $25,000
Bancwest Investment Services, Inc.   2020 SEC $406,432
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
S&P Dow Jones Indices LLC S&P Global information technology 2021 SEC $9,000,000
Under Armour Inc. Under Armour apparel 2021 SEC $9,000,000
Fortem Resources, Inc.   2021 SEC $25,000
TruTankless, Inc.   2021 SEC $25,000
ShiftPixy, Inc.   2021 SEC $25,000
Rokk3r, Inc.   2021 SEC $50,000
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
HQDA Elderly Life Network Corp.   2021 SEC $50,000
Asta Funding, Inc.   2021 SEC $50,000
Igen Networks Corp.   2021 SEC $25,000
Legacy Group, Inc.   2021 SEC $502,726
Students of Strength, Inc.   2021 SEC $222,517
VII Peaks Capital, LLC   2021 SEC $1,030,699
Emperor Investments, Inc.   2021 SEC $25,000
Centaurus Financial, Inc.   2021 SEC $1,281,396
Mason Investment Advisory Services, Inc   2021 SEC $975,057
Ettro Capital Management Corp.   2021 SEC $60,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2021 SEC $863,326
Regal Investment Advisors LLC   2021 SEC $846,774
BFC Planning, Inc.   2021 SEC $305,811
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2021 SEC $389,425
App Annie Inc.   2021 SEC $10,000,000
ProSky, Inc.   2021 SEC $4,700,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc.   2021 SEC $539,000,000
DBRS, INC.   2021 SEC $1,000,000
Rothschild Investment Corporation   2021 SEC $2,471,667
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.