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
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services 2004 FINRA $11,500,000
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
Benefit Contract Administrators, Inc. et al.   2009 VA-SEC $11,347,906
Nakami Chi Group Ministries International   2008 AZ-SEC $11,294,912
Pruco Securities, LLC Prudential Financial financial services 2012 FINRA $11,250,000
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
E-Slate, Inc.   2018 CFTC $11,183,497
ValueAct   2016 DOJ_ANTITRUST $11,000,000
Northstar International Group, Inc.   2011 CFTC $11,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2012 FINRA (*) $11,000,000
COMMUNICLIQUE, INC.   2018 VA-SEC $10,980,923
4X Solutions Inc.   2016 CFTC $10,980,904
Tallinex   2018 CFTC $10,971,279
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
Merrill Lynch Bank of America financial services 2015 SEC $10,900,000
Blue Bottle Limited   2007 SEC $10,846,785
UBS Financial Services, Inc. UBS financial services 2011 FINRA $10,750,000
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial financial services 2012 MULTI-FIN $10,641,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc.   2003 SEC $10,500,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Agra Technologies, Inc.   2007 AZ-SEC $10,417,532
Poloniex LLC   2021 SEC $10,388,309
Longboat Global Funds Management   2007 CFTC $10,317,183
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
GPB Capital Holdings, LLC et al.   2021 SC-INS $10,200,000
Visium Asset Management LP   2018 SEC $10,120,711
Barron Thomas Scottsdale, L.L.C. et al.   2010 AZ-SEC $10,051,294
Kestra Advisory Services, LLC   2021 SEC $10,003,172
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
Merrill Lynch Bank of America financial services 2016 SEC $10,000,000
Merrill Lynch Bank of America financial services 2011 SEC $10,000,000
Elite Management Holdings Corp. and MJM Enterprises LLC   2014 CFTC $10,000,000
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Cargill Inc. Cargill agribusiness 2017 CFTC $10,000,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. financial services 2013 SEC $10,000,000
Canary Capital Partners LLC   2006 NJ-AG $10,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 NY-AG (*) $10,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 NJ-AG $10,000,000
GFI Securities, LLC BGC Partners financial services 2019 CFTC $10,000,000
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
Ameritrade, Inc.   2004 FINRA $10,000,000
App Annie Inc.   2021 SEC $10,000,000
Monterey Del Pacifico Partners LLLP   2020 MD-SEC $9,880,000
International Monetary Metals, Inc.   2016 CFTC $9,800,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Premier Holding Corp.   2021 SEC $9,691,500
Gold Coast Bullion Inc.   2015 CFTC $9,690,124
M.A.C Investments, Inc. et al.   2005 AZ-SEC $9,566,872
Advance Local Development Corp.   2002 SEC $9,509,736
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Wall Street Underground, Inc.   2006 CFTC $9,500,000
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Fiat Chrysler Automobiles N.V. Stellantis motor vehicles 2020 SEC $9,500,000
Newedge USA, LLC   2013 FINRA $9,500,000
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc.   2001 SEC $9,395,066
LPL Financial LLC LPL Financial financial services 2019 SEC $9,333,516
Goldman Sachs Goldman Sachs financial services 2003 SEC $9,305,382
Growth Capital Management LLC   2012 CFTC $9,300,000
The Joseph Project   2021 AZ-SEC $9,210,000
Onyx Capital Advisors   2014 SEC $9,100,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
United American Ventures, LLC   2012 SEC $9,079,372
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Diamondback Capital Management LLC   2012 SEC $9,000,000
PA Distributors   2004 CA-AG $9,000,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
LPL Financial LLC LPL Financial financial services 2013 FINRA $9,000,000
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
First American Investment Services, Inc.   2006 CFTC $8,983,388
Marshall Holdings International, Inc.   2009 SEC $8,974,033
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $8,900,000
Murchinson Ltd.   2021 SEC $8,878,183
Artis Capital Management   2016 SEC $8,878,015
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America financial services 2018 SEC $8,872,723
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
Philadelphia Alternative Asset Management Co.   2008 CFTC $8,800,000
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
Brixon Group Ltd.   2005 AZ-SEC $8,786,445
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Fenway Partners LLC   2015 SEC $8,716,471
Costa Reit Partners LLC et al.   2020 MD-SEC $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2015 FINRA $8,700,000
Maverick International, Inc.   2018 CFTC $8,605,274
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Morgan Stanley & Co. Morgan Stanley financial services 2009 MULTI-FIN $8,500,000
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
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.