Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
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
Vision Financial Partners, LLC   2017 CFTC $6,527,130
THL Managers V, LLC and THL Managers VI, LLC   2018 SEC $6,506,016
8000 Inc.   2015 SEC $6,500,000
Ethiopian Electric Power   2016 SEC $6,448,854
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Republic Cash Advance, Inc. and Quick Cash Advance, Inc.   2002 AZ-SEC $6,348,492
iCapital Markets LLC   2002 SEC $6,300,000
World Interactive Gaming Corporation   2000 NY-AG $6,300,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC   2010 AZ-SEC $6,274,453
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
Profutura LLC   2001 AZ-SEC $6,215,350
Worth Asset Management   2014 CFTC $6,200,000
Billion Coupons, Inc.   2010 CFTC $6,200,000
Kestra Advisory Services, LLC   2019 SEC $6,196,279
Cambridge Investment Research Advisors, Inc.   2019 SEC $6,187,562
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
Unikrn Inc.   2020 SEC $6,100,000
INH-Interholding SA   2008 CFTC $6,075,841
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
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
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Native American Water, L.L.C. dba NATAWA et al.   2019 AZ-SEC $5,874,215
MNI Properties, L.L.C. and Mortgage Notes, Inc.   2008 AZ-SEC $5,867,967
Securities America Advisors Inc.   2018 SEC $5,828,448
DBRS Inc.   2015 SEC $5,814,482
Renaissance Asset Management LLC   2009 CFTC $5,800,000
Alpha Trade Group S.A.   2013 CFTC $5,779,000
Queen Shoals Consultants, LLC   2014 CFTC $5,760,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Onele Trading & Finance Ltd.   2011 SEC $5,729,276
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Capital Source Lending LLC   2019 SEC $5,720,451
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
New Century Investment Management LLC   2014 CFTC $5,700,000
Five Star Capital Markets LLC   2011 AZ-SEC $5,677,226
Equinox Fund Management LLC   2016 CFTC $5,654,004
Boon Tech   2020 SEC $5,600,334
AlphaMetrix, LLC   2014 CFTC $5,600,000
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
North American Capital Trust, LLC et al.   2010 ID-SEC $5,533,464
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
Stephens Inc.   2019 SEC $5,489,119
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
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
Lions Wealth Holdings, Lions Wealth Services and 20/20 Precious Metals   2015 CFTC $5,388,730
C & R Financial, Inc.   2011 CFTC $5,350,000
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc.   2001 AZ-SEC $5,336,160
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
Property Quest D.J.E., Inc.   2008 AZ-SEC $5,210,399
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
Catharon Software Corp.   2015 AZ-SEC $5,176,559
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC financial services 2015 MULTI-FIN $5,160,000
CMB Export LLC   2018 SEC $5,150,000
Bridgeway Capital Management   2004 SEC $5,116,464
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Tyco International Ltd. Johnson Controls automotive parts 2002 NH-BSR $5,100,000
Capital Ventures LLC   2008 ID-SEC $5,020,000
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Morgan Stanley Morgan Stanley financial services 2012 CFTC $5,000,000
LavaFlow Inc. Citigroup financial services 2014 SEC $5,000,000
New York Stock Exchange IntercontinentalExchange Group financial services 2012 SEC $5,000,000
Lloyds Commodities, LLC   2014 CFTC $5,000,000
Q Wealth Management Inc.   2013 CFTC $5,000,000
SNC Asset Management, Inc. and SNC Investments, Inc.   2012 CFTC $5,000,000
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
Inviva Inc.   2004 SEC $5,000,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
JSC VTB Bank   2016 CFTC $5,000,000
Rosenthal Collins Capital Markets, LLC   2017 CFTC $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. financial services 2018 SEC $5,000,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
Deer Park Road Management Company LP   2019 SEC $5,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
Inviva, Inc.   2004 NY-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 CFTC $5,000,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 CT-SEC $5,000,000
State Street Global Advisors State Street Corp. financial services 2012 MA-SEC $5,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2012 MA-SEC $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-BOS $5,000,000
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(*): 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.