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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Biltmore Wealth Management, LLC   2018 SEC $183,043
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
Binary Banc   2016 WA-FIN $12,000
Bio Defense Corp.   2019 SEC $37,475,717
BIO-FUEL DEVELOPMENT COMPANY   2014 VA-SEC $9,300
Bio-Heal Laboratories, Inc.   2006 SEC $618,135
Bio-NRG, LLC   2014 IL-SEC $60,000
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
BioChemics Inc.   2015 SEC $17,897,887
BioElectronics, Corp.   2018 SEC $191,640
Biogenic, Inc.   2020 MI-SEC $20,000
Bird Rock Management, LLC et al.   2016 CA-DFPI $45,000
Birinyi Associates, Inc.   2020 SEC $100,000
Birmingham Investments and Birmingham Capital Advisors, LLC   2011 FL-OFR $117,500
Biscayne Capital International, LLC   2016 SEC $158,087
Bison Capital Inc.   2001 ND-SEC $5,000
BISYS Fund Services, Inc.   2006 SEC $21,400,000
BitClave PTE Ltd   2020 SEC $29,744,197
Bitqyck Inc.   2019 SEC $8,375,617
BKS Advisors LLC   2018 SEC $75,000
Black Box Fund   2020 MI-SEC $20,000
Black Diamond Capital Appreciation Fund, L.P. et al.   2015 NJ-BOS $2,500,000
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC   2015 CFTC $76,000,000
Black Diamond Forex LP, BDF Trading LP, and Advanta FX   2020 CFTC $1,200,000
Black Diamond Research, LLC   2006 CT-SEC $10,900
Black Platinum Holdings, LLC and GSI Global, Inc.   2018 AZ-SEC $230,000
Blackbay Capital Advisors   2012 MO-SEC $5,000
Blackboard, Inc.   2004 DC-DISB $5,000
Blackbook Capital, LLC   2016 NH-BSR $5,000
Blackbox Pulse, LLC   2019 CFTC $2,712,807
BlackRock Advisors LLC BlackRock financial services 2015 SEC $12,000,000
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
BlackRock Institutional Trust Company BlackRock financial services 2014 SEC $1,675,350
BlackRock Institutional Trust Company NA BlackRock financial services 2012 CFTC $250,000
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
Blackstreet Capital Management, LLC   2016 SEC $2,622,737
Blackthorn Investment Group   2013 SEC $520,207
Blackwell Donaldson & Company   2005 OR-FIN $40,000
Blaine Capital, LLC   2018 CT-SEC $5,000
Blazefly, Inc.   2018 IA-INS $186,968
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Blazin' Enterprises, Inc. and Craft Enterprises, LLC   2012 HI-SEC $25,000
Block.one   2019 SEC $24,000,000
Blockchain of Things Inc.   2019 SEC $250,000
Blockweather Holdings, LLC   2018 MI-SEC $60,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
BLOOP FROZEN YOGURT, LLC   2018 VA-SEC $45,000
Blue Bit Banc et al.   2019 CFTC $3,346,405
Blue Bottle Limited   2007 SEC $10,846,785
Blue Castle Films LLC et al.   2015 OR-FIN $140,000
Blue Chip Focus Fund, LP et al.   2013 WA-FIN $30,000
Blue Coast Financial Group, Inc.   2010 CT-SEC $25,000
Blue Crab Partners, LLC   2017 IN-SEC $5,000
Blue Gold co LC   2020 WA-SEC $11,250
BLUE LIGHTNING ENTERPRISES INC.   2015 VA-SEC $5,000
Blue River Capital LLC   2005 SEC $150,000
Blue Sky Capital Management Corp.   2012 CFTC $140,000
Blue Water Financial, LLC   2020 PA-BKG $40,000
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Bluefin Trading, LLC   2019 SEC $303,638
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Bluepac Management LLC   2012 AL-SEC $7,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DFPI $50,000
BlueRay Technologies, LLC et al.   2012 WA-FIN $12,500
Blyth & Associates, Inc.   2019 SEC $103,071
BMA Securities, LLC   2020 SEC $333,537
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
BMO Capital Markets GKST Inc. Piper Sandler financial services 2015 SEC $250,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
BNB Capital, Inc.   2002 SEC $5,000
BNB Wealth Management, LLC   2020 SEC $74,417
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
BNY Brokerage, Inc.   2004 FINRA $12,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
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 Securities Corporation   2021 SEC $224,994
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
BOSC, Inc.   2005 FINRA $30,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Boston Trading Advisors, LLC   2003 CFTC $10,000
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.