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$13,398,455,23576
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)
Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
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 Morgan Stanley financial services 2011 MULTI-FIN $5,000,000
Thomas Weisel Partners LLC Stifel Financial financial services 2005 MULTI-FIN (*) $5,000,000
Morgan Stanley Capital Services LLC Morgan Stanley financial services 2020 CFTC $5,000,000
Kik Interactive Inc.   2020 SEC $5,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2020 SEC $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
Klytie's Developments, Inc. et al.   2010 CO-SEC $4,667,724
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
International Foreign Currency   2012 CFTC $4,600,000
Deerfield Management Company L.P.   2017 SEC $4,600,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
Kelly's Mobile Home Sales, Inc.   2008 AZ-SEC $4,592,939
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Haidar Capital Management, LLC   2007 SEC $4,580,000
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
New York Stock Exchange IntercontinentalExchange Group financial services 2014 SEC $4,500,000
First Capital Savings and Loan   2011 CFTC $4,500,000
William Blair & Company, L.L.C.   2017 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
Acuity Lending Corporation   2013 OR-FIN $4,500,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Marbury Advisors Inc.   2017 CFTC $4,441,652
One Vision Children's Foundation, Inc.   2003 AZ-SEC $4,407,140
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
Trickling Springs Creamery, LLC   2020 PA-BKG $4,375,000
Red Mountain Funding, Inc.   2015 AZ-SEC $4,344,885
CDH & Affiliates, Inc.   2004 SEC $4,317,616
China Shenghai Investment Management Limited   2014 SEC $4,300,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Hughes Energy Inc.   2009 USAO $4,261,211
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Verto Capital Management   2017 SEC $4,158,517
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Fremont Investment Advisors   2004 SEC $4,146,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Milan Group Inc.   2013 SEC $4,141,148
Global Corporate Strategies LLC   2019 SEC $4,120,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Investment Placement Group   2011 SEC $4,072,027
KA Investments, Inc.   2018 ID-SEC $4,011,806
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Invers Forex, LLC   2012 CFTC $4,000,000
Raleigh Capital Management, Inc.   2011 CFTC $4,000,000
Diamond Ventures LLC   2011 CFTC $4,000,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Hazan Capital Management LLC   2009 SEC $4,000,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
New York Mercantile Exchange (NYMEX)   2020 CFTC $4,000,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
High Point Wealth Management   2018 MD-SEC $3,990,000
Fifth Street Management, LLC   2018 SEC $3,983,660
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Millenium Trading Group, LLC   2007 CFTC $3,861,516
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Direct Investment Products, Inc.   2015 CFTC $3,851,633
VOS Capital Management, LLC   2020 CFTC $3,813,875
McCall Business Group, LLC and MBG Global, LLC   2010 CFTC $3,800,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
ACJ Capital, Inc.   2012 CFTC $3,700,000
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.