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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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.
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
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
Boardroom Private Investment Group   2016 SC-SEC $10,000
Boardwalk Mortgage Group, LLC   2008 AR-SEC $5,631
Bob's Cash Express, Inc. et al.   2003 AZ-SEC $693,320
Bodell Overcash Anderson & Co., Inc.   2005 ME-SEC $10,538
Boenning & Scattergood, Inc.   2016 SEC $250,000
Boenning & Scattergood, Inc.   2020 SEC $205,567
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Bok Financial Securities, Inc. BOK Financial financial services 2019 SEC $197,801
Bolton Total Wealth Management and Spirited Funds, LLC   2019 KY-FIN $220,000
Bonwick Capital Partners, LLC   2017 SEC $50,000
Boomerang Capital, LLC   2020 CT-BKG $5,020
Boon Tech   2020 SEC $5,600,334
BOSC, Inc.   2015 SEC $250,000
Boston Trading Advisors, LLC   2003 CFTC $10,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
Boulder Wealth Management, LLC   2010 MO-SEC $5,000
Bountiful LLC   2007 OR-FIN $23,000
BP BP oil and gas 2012 SEC $525,000,000
BPU Investment Management, Inc.   2020 SEC $927,107
Bradway Financial, LLC and Bradway Capital Management, LLC   2017 SEC $150,000
Brahma Management Ltd.   2018 SEC $75,000
Brahman Capital Corp.   2017 SEC $250,000
Branch Banco, Inc.   2007 FL-OFR $13,500
Branch Banking and Trust Company Truist Financial financial services 2016 SC-SEC $97,500
Branded Marketing LLC   2015 NJ-AG $13,300,000
Brandywine Financial Group Inc.   2017 PA-BKG $34,500
BRAZELTON LOAN PARTNERS   2013 VA-SEC $22,168
Brazos Securities Inc.   2018 TX-SEC $20,000
Brean Murray & Co., Inc.   2005 SEC $150,000
Bremen Investment Company, LLC and Harvest Marketplace, LLC   2016 MO-SEC $62,500
Briargate Trading LLP   2015 SEC $912,842
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc.   2010 CA-DFPI $11,780,076
BRIDGETOWN FRAGRANCES, INC.   2017 VA-SEC $5,000
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
Bridgeway Capital Management   2004 SEC $5,116,464
BRIGHT COVE SECURITIES INC.   2001 VA-SEC $5,000
Bright Light Capital Advisor, Inc.   2020 CA-DFPI $5,000
Brisk Management, LLC   2018 WA-FIN $11,500
Bristol Group Inc.   2018 SEC $75,000
BrixInvest, LLC   2019 SEC $300,000
Brixon Group   2004 MS-SEC $50,000
Brixon Group Ltd.   2005 AZ-SEC $8,786,445
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
Broadcom Corp. Broadcom electrical and electronic equipment 2009 NM-AG $160,500,000
Broadreach Capital, LLC   2016 FL-OFR $6,000
Broadview Asset Management, LLC   2007 MO-SEC $5,500
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
BrokerageAmerica Inc.   2001 ND-SEC $5,000
Brooke's Ventures LLC   2020 ID-SEC $20,000
Brookes Ventures, LLC dba Aulterra International   2016 ID-SEC $30,000
BROOKLYN WATER BAGEL FRANCHISE   2013 VA-SEC $6,000
Brooks Communications LLC   2016 SC-SEC $20,000
Brooks Martin Investments, LLC and My1sthouse.com, LLC   2009 MD-SEC $358,432
Brookshire Raw Materials Management, LLC   2011 CFTC $15,800,000
Brookshire Securities Corp.   2009 MS-SEC $225,000
Brookside Capital, LLC   2011 SEC $2,124,079
Brookstreet Securities Corp.   2004 FL-OFR $15,000
Brookstreet Securities Corp.   2007 MO-SEC $20,950
Brookstreet Securities Corp.   2008 MS-SEC $15,000
Brookstreet Securities Corporation Inc.   2005 OR-FIN $9,000
Brookville Capital Partners   2012 CT-SEC $5,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services 2014 SEC $120,000
Bruce Fund, Inc.   2006 NE-DBF $17,500
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
Brunswick Capital LLC and Brunswick Capital Partners LP   2015 CFTC $1,025,039
Brut, LLC   2003 SEC $45,000
Bryan Funding Inc.   2016 PA-BKG $5,000
Bryn Advisory Group, LLC   2013 FL-OFR $705,000
BSK Enterprises, LLC   2009 AZ-SEC $2,539,225
BTS Asset Management, Inc.   2012 SEC $200,000
BTS Securities Corporation   2008 RI-FIN $15,694
Buchanan Capital LLC et al.   2016 PA-BKG $190,000
Buckson Realty Brokerage, Inc.   2000 DE-SEC $39,934
Bunge Global Markets, Inc. Bunge agribusiness 2011 CFTC $550,000
Buraness Management, LLC   2011 MO-SEC $14,827
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
Business & Financial Advisors, Inc.   2001 SEC $128,817
Business Development Corporation of America   2016 OR-FIN $5,000
Butler Classic Homes, LLC et al.   2009 MD-SEC $675,000
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
Butler, Wick & Co., Inc.   2004 MO-SEC $11,600
Butterworth Advisory Services and Senior Advisory Services   2006 AZ-SEC $285,000
Buttonwood Tree Management, LLC   2018 CA-DFPI $50,223
Buy Car Notes.com Inc. et al.   2012 OK-SEC $45,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads   2015 VA-SEC $29,000
C & D MANAGEMENT COMPANY   2008 VA-SEC $15,000
C & R Financial, Inc.   2011 CFTC $5,350,000
C&C Capital, LLC   2010 ID-SEC $15,000
C-Street Financial Group et al.   2011 AZ-SEC $874,260
C.J.M. Planning Corp.   2002 FL-OFR $5,000
C.M.A.C International, Inc.   2013 CA-DFPI $195,993
C22 Capital, Inc.   2016 IL-SEC $10,000
CAA General Partnership   2010 AZ-SEC $2,929,858
Cabildo Capital, LLC   2019 MD-SEC $10,000
CAC Capital Corporation   2006 VA-SEC $15,000
Cache Private Capital Diversified Fund LLC   2017 ID-SEC $25,000
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
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.