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
The New Dimension Group, LLC   2012 VA-SEC $11,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
The Northern Trust Company Northern Trust financial services 2015 SEC $60,000
The O.N. Equity Sales Company   2012 OK-SEC $10,000
The Options Clearing Corporation   2019 SEC $15,000,000
The Parrish Group, LLC   2019 SEC $184,767
The Phoenix Companies, Inc.   2014 SEC $100,000
The Phoenix Companies, Inc.   2014 SEC $375,000
The Planning Group, Inc. dba Asset Strategies, Inc.   2006 MO-SEC $56,850
The Princeton Partnership, LLC   2015 MO-SEC $3,016,710
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
The Prudential Investment Portfolios, Inc.   2007 WI-FIN $5,000
The Real Estate LLC and Safety Solutions USA, LLC   2011 MO-SEC $36,595
The Reserve Fund   2000 TX-SEC $150,000
The Rhodes Company   2000 OR-FIN $7,500
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
The RWS Group, Inc.   2004 MO-SEC $16,120
THE SENIOR'S CHOICE INC.   2010 VA-SEC $17,500
The Sheffield Group   2000 OR-FIN $25,000
The Short Interest, LLC and The Short Manager, LLC   2021 OR-FIN $25,000
The Social Equity Group, Inc.   2004 CA-DFPI $9,000
The Social Equity Group, Inc.   2014 CA-DFPI $35,000
The Source   2020 NC-SEC $5,000
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
The Stock Exchange Trading Company, LLC   2019 MO-SEC $28,379
The Trade Tech Institute, Inc. and Technology Trading International, Inc.   2012 CFTC $15,759,357
The Tulving Company, Inc.   2019 CFTC $15,761,432
The Undetectables Movie, LLC   2018 GA-SEC $50,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
The Yorkshire Group, Inc.   2016 CFTC $1,569,801
Theglobe.com   2001 NY-AG $100,000
THEODORE J. HOGAN & ASSOCIATES   2007 VA-SEC $53,117
Theodore J. Hogan & Associates, LLC   2011 AZ-SEC $2,253,310
TherapeuticsMD Inc.   2019 SEC $200,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
Third Point LLC   2019 FTC $609,810
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Third Ridge Capital LP   2005 ND-SEC $5,000
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
THL Managers V, LLC and THL Managers VI, LLC   2018 SEC $6,506,016
Thomas G. Grace Advisors   2008 MN-FIN $5,000
Thomas Weisel Partners Stifel Financial financial services 2005 FINRA $1,750,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Thomas Weisel Partners LLC Stifel Financial financial services 2005 MULTI-FIN (*) $5,000,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
Thome Financial Management, LLC   2012 WA-FIN $17,500
Thompson Consulting Inc.   2010 SEC $400,000
Thompson Price Holding Inc.   2009 SEC $288,815
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
Thorne Trading & Investment Management   2014 OR-FIN $5,000
Thornton Investment Management PLLC   2020 VT-FIN $30,000
Thoroughbred Financial Services, LLC   2018 SEC $1,108,618
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
Three Nines Minerals Ltd. Et al.   2013 OR-FIN $474,000
Thrive Learning Institute   2009 IL-SEC $22,734
Thrivent Investment Management Inc. Thrivent Financial financial services 2020 IL-SEC $400,000
Thunderstruck Investments Limited   2017 MO-SEC $122,092
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
Tiber Creek Corp.   2019 SEC $209,797
Tiburon Research Group, Inc.   2018 CA-DFPI $5,000
Tidewater Financial Group PC   2016 NH-BSR $14,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
Tier One, Inc.   2007 SEC $85,500
Tierion, Inc.   2020 SEC $250,000
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC   2012 SEC $200,000
Tillage Commodities, LLC   2017 CFTC $150,000
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Titan Trade Club   2018 MN-FIN $10,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
TJM Proprietary Trading LLC   2009 SEC $541,000
TLC Investments & Trade Co.   2001 SEC $106,600,000
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority   2015 VA-SEC $22,500
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
TMTE, Inc., a/k/a Chase Metals, LLC   2020 MO-SEC $38,000
Todderwatch.com, Inc.   2002 FL-OFR $25,000
TokenLot LLC   2018 SEC $478,929
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
Torrey Pines Securities, Inc.   2001 FINRA $14,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Total Call Group, Inc.   2012 CFTC $4,800,000
Total Gas & Power North America, Inc. TotalEnergies SE oil and gas 2015 CFTC $3,600,000
TOTE Fund LLC and MJS Capital Management LLC   2015 CFTC $871,439
Touchstone Funds Group Trust   2013 AK-DBS $5,000
Touradji Capital Management, L.P.   2011 SEC $1,303,336
Tower Research Capital LLC   2019 CFTC $67,493,849
Tower Square Securities   2002 FINRA $4,500,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Town Residential   2015 NY-AG $7,500
TPEG Securities, LLC   2020 CT-SEC $8,950
TPG Advisors LLC   2016 SEC $328,437
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Trade Exchange Network Limited   2005 CFTC $150,000
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.