Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,390,530,420
Number of Penalty Records: 
6,545
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
Aegis Capital LLC   2013 NH-BSR $45,000
Aegis Capital Corp.   2012 CT-SEC $15,000
Aegis Capital Corp.   2015 FINRA $950,000
Aegis Capital Corp.   2001 FINRA $19,000
Aegis Capital Corp.   2021 FINRA $2,800,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
AE Wealth Management, LLC   2021 AZ-SEC $1,309,400
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
Advisors Management Group, Inc.   2005 IL-SEC $5,200
Advest, Inc.   2005 FINRA $286,415
Advent Capital Management   2014 SEC $144,128
ADVANTAGE REAL ESTATE MANAGEMENT LLC   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE LPS   2001 VA-SEC $5,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
Advantage Investment Management, LLC   2016 SEC $60,000
Advantage Futures LLC   2016 CFTC $1,500,000
Advantage Capital Corporation   2009 FINRA $5,000
Advantage Capital Corp.   2007 CT-SEC $25,000
Advantage Capital Corp.   2005 FINRA $450,000
Advanced Trading Workshop, Inc.   2016 CFTC $940,000
Advanced Planning Concepts, LLC   2018 AZ-SEC $37,435
Advanced Equities Inc   2012 SEC $1,000,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
Advanced Cell Technology   2014 SEC $375,000
Advance Local Development Corp.   2002 SEC $9,509,736
ADT Inc. Apollo Global Management private equity (including portfolio companies) 2018 SEC $100,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2013 CFTC $425,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2009 CFTC $200,000
ADM Investor Services Inc. Archer Daniels Midland agribusiness 2019 CFTC $250,000
Addison Securities, Inc.   2000 FINRA $37,500
Addison Capital Co.   2016 PA-BKG $175,000
Adar International   2000 SEC $10,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Adams Financial Concepts, LLC   2014 WA-FIN $15,000
Adams Capital Management   2017 SEC $45,000
Adamas Investments, LLC   2010 AZ-SEC $690,125
Acuity Lending Corporation   2013 OR-FIN $4,500,000
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
ACL Alternative Fund Limited   2013 NH-BSR $5,000
ACJ Capital, Inc.   2012 CFTC $3,700,000
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
ACI Inc.   2004 SEC $7,756,750
ACI Holdings, Inc.   2007 AZ-SEC $999,763
ACI Capital Group, L.L.C.   2012 CFTC $850,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
Ace Payday Plus, LLC   2004 SEC $1,842,133
Accurate Financial Group Ltd.   2010 IL-SEC $20,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Account Management LLC   2019 SEC $100,000
Account Management LLC   2020 VT-FIN $80,000
Access Securities, Inc.   2001 FINRA $14,000
Access Investment, LLC   2020 NH-BSR $7,500
Access Capital Partners   2009 NY-AG $1,600,000
Access Capital Education & Services Co. Inc. et al.   2015 NJ-BOS $1,000,000
Acceleration Capital, LLC   2007 CFTC $218,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Accelerated Mentoring LLC fka Internet Sales Institute LLC   2013 CT-SEC $90,000
ACCA Enterprises LLC   2017 NM-SEC $10,000
Acadia Asset Management, LLC   2015 SEC $354,115
Abtech Holdings, Inc.?   2018 SEC $133,414
Abshier Webb Donnelly & Baker Inc.   2009 TX-SEC $25,000
Absa Bank, Ltd.   2014 CFTC $150,000
ABS Manager   2015 SEC $1,087,648
Abousaoui Financial, LLC   2019 IN-SEC $119,555
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
ABN AMRO Incorporated ABN AMRO financial services 2005 FINRA $220,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
ABM Management, Inc. et al.   2017 MO-SEC $2,605,226
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
ABCSP Inc.   2010 MD-SEC $35,000
ABC Financial Planning   2017 NH-BSR $15,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
AAA Venture Business Brokers, Ltd.   2014 IL-SEC $27,000
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
A. Neff Associates   2017 PA-BKG $5,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
A&O Life Fund, LLC et al.   2009 IL-SEC $20,000
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
A&F Financial Securities, Inc.   2011 FINRA $125,000
A&A Trading, Inc.   2020 CFTC $495,329
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC   2014 SEC $12,950,000
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.