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 Agency Penalty Amountsort icon
Harbor Light Asset Management   2014 CFTC $5,200,000
Winell Associates, Inc. and Maxie Partners GP, LLC   2011 CFTC $5,200,000
Goldman, Sachs & Co. Goldman Sachs financial services 2000 SEC $5,200,000
Property Quest D.J.E., Inc.   2008 AZ-SEC $5,210,399
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,290,000
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc.   2001 AZ-SEC $5,336,160
C & R Financial, Inc.   2011 CFTC $5,350,000
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals   2015 CFTC $5,388,730
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2004 FINRA $5,390,000
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC   2012 CFTC $5,400,000
CDH Forex Investments, LLC and CDH Global Holdings LLC   2012 CFTC $5,400,000
Hotel Connect, LLC et al.   2001 AZ-SEC $5,400,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
Stephens Inc.   2019 SEC $5,489,119
CMA Capital Management, LLC   2012 CFTC $5,500,000
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
Metropolitan Ambulatory Surgical Center LLC and MGK Holdings LLC   2014 NJ-BOS $5,500,000
Interactive Brokers LLC Interactive Brokers Group financial services 2018 FINRA $5,500,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
North American Capital Trust, LLC et al.   2010 ID-SEC $5,533,464
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
Retire Happy, LLC et al.   2021 MO-SEC $5,596,783
AlphaMetrix, LLC   2014 CFTC $5,600,000
Boon Tech   2020 SEC $5,600,334
Equinox Fund Management LLC   2016 CFTC $5,654,004
Five Star Capital Markets LLC   2011 AZ-SEC $5,677,226
New Century Investment Management LLC   2014 CFTC $5,700,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
Capital Source Lending LLC   2019 SEC $5,720,451
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Onele Trading & Finance Ltd.   2011 SEC $5,729,276
General Motors General Motors motor vehicles 2021 CA-AG $5,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Queen Shoals Consultants, LLC   2014 CFTC $5,760,000
Alpha Trade Group S.A.   2013 CFTC $5,779,000
Renaissance Asset Management LLC   2009 CFTC $5,800,000
DBRS Inc.   2015 SEC $5,814,482
Securities America Advisors Inc. Reverence Capital Partners private equity (including portfolio companies) 2018 SEC $5,828,448
MNI Properties, L.L.C. and Mortgage Notes, Inc.   2008 AZ-SEC $5,867,967
Native American Water, L.L.C. dba NATAWA et al.   2019 AZ-SEC $5,874,215
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
Flint-McClung Capital LLC   2012 CFTC $6,000,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2018 FINRA $6,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $6,000,000
Merrill Lynch Bank of America financial services 2014 FINRA $6,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2003 FINRA $6,000,000
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
INH-Interholding SA   2008 CFTC $6,075,841
Unikrn Inc.   2020 SEC $6,100,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2007 FINRA $6,100,000
Morgan Stanley DW, Inc. Morgan Stanley financial services 2005 FINRA $6,100,000
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
Cambridge Investment Research Advisors, Inc.   2019 SEC $6,187,562
Kestra Advisory Services, LLC   2019 SEC $6,196,279
Worth Asset Management   2014 CFTC $6,200,000
Billion Coupons, Inc.   2010 CFTC $6,200,000
Profutura LLC   2001 AZ-SEC $6,215,350
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC   2010 AZ-SEC $6,274,453
iCapital Markets LLC   2002 SEC $6,300,000
World Interactive Gaming Corporation   2000 NY-AG $6,300,000
LPL Financial LLC LPL Financial financial services 2015 FINRA $6,300,000
Republic Cash Advance, Inc. and Quick Cash Advance, Inc.   2002 AZ-SEC $6,348,492
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
Ethiopian Electric Power   2016 SEC $6,448,854
8000 Inc.   2015 SEC $6,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2019 FINRA $6,500,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2013 FINRA $6,500,000
Coinbase Inc.   2021 CFTC $6,500,000
THL Managers V, LLC and THL Managers VI, LLC   2018 SEC $6,506,016
Gateway One Lending & Finance, LLC   2021 SEC $6,513,192
Vision Financial Partners, LLC   2017 CFTC $6,527,130
CITIC Securities International Investment Management (HK) Limited   2014 SEC $6,600,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
John Nuveen & Co., Inc. TIAA financial services 2000 FINRA $6,630,000
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
Simpson Capital Management, Inc.   2009 SEC $6,650,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
Maize Capital Management, LLC and Maize Asset Management, LLC   2015 CFTC $6,702,818
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
Longfin Corp.   2019 SEC $6,755,848
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Ascenergy LLC   2017 SEC $6,859,690
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
Integra Capital Management, LLC   2011 CFTC $6,900,000
Interinvest Corporation   2016 SEC $6,900,000
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.