Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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$13,367,992,14173
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,110,71283
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,688,695,98724
Wells Fargo$2,404,990,13051
American International Group$1,579,000,0004
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
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
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
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
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
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
E*TRADE Securities LLC E-Trade Financial financial services 2011 MULTI-FIN $5,000,000
Thomas Weisel Partners LLC Stifel Financial financial services 2005 MULTI-FIN (*) $5,000,000
Flakeboard America Limited AntarChile diversified 2014 DOJ_ANTITRUST $4,950,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
PlexCorps   2019 SEC $4,911,613
Merrill Lynch Bank of America financial services 2010 NJ-AG $4,871,620
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Tri-Core Companies, LLC et al.   2017 AZ-SEC $4,822,311
Delaware Asset Advisers   2012 SEC $4,814,520
Venture Capital Holdings LLC   2006 SEC $4,808,953
Summit Trading & Capital LLC   2013 CFTC $4,800,000
Total Call Group, Inc.   2012 CFTC $4,800,000
FTS Financial, Inc.   2017 CFTC $4,800,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 MS-SEC $4,743,815
Falco & Stevens, Inc.   2007 CFTC $4,724,607
Stroud Capital Management, LLC, TS Capital Partners, LLC, and TS Capital Management, LLC   2016 CFTC $4,723,246
Pan American Metals of Miami and Pan American Metals of Miami Beach   2013 CFTC $4,700,000
ING Financial Partners, Inc. Voya Financial financial services 2008 IL-SEC $4,677,326
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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.