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.
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
Monterey Del Pacifico Partners LLLP   2020 MD-SEC $9,880,000
International Monetary Metals, Inc.   2016 CFTC $9,800,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Gold Coast Bullion Inc.   2015 CFTC $9,690,124
M.A.C Investments, Inc. et al.   2005 AZ-SEC $9,566,872
Advance Local Development Corp.   2002 SEC $9,509,736
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Wall Street Underground, Inc.   2006 CFTC $9,500,000
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc.   2001 SEC $9,395,066
LPL Financial LLC LPL Financial financial services 2019 SEC $9,333,516
Goldman Sachs Goldman Sachs financial services 2003 SEC $9,305,382
Growth Capital Management LLC   2012 CFTC $9,300,000
Onyx Capital Advisors   2014 SEC $9,100,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
United American Ventures, LLC   2012 SEC $9,079,372
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Diamondback Capital Management LLC   2012 SEC $9,000,000
PA Distributors   2004 CA-AG $9,000,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
First American Investment Services, Inc.   2006 CFTC $8,983,388
Marshall Holdings International, Inc.   2009 SEC $8,974,033
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $8,900,000
Artis Capital Management   2016 SEC $8,878,015
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America financial services 2018 SEC $8,872,723
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
Philadelphia Alternative Asset Management Co.   2008 CFTC $8,800,000
Brixon Group Ltd.   2005 AZ-SEC $8,786,445
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Fenway Partners LLC   2015 SEC $8,716,471
Costa Reit Partners LLC et al.   2020 MD-SEC $8,700,000
Maverick International, Inc.   2018 CFTC $8,605,274
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Morgan Stanley & Co. Morgan Stanley financial services 2009 MULTI-FIN $8,500,000
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
Bitqyck Inc.   2019 SEC $8,375,617
Petro-Suisse Ltd.   2013 SEC $8,370,000
Martin Currie   2012 SEC $8,300,000
Serafino Holdings, L.L.C.   2011 NJ-AG $8,250,000
Vericorp, Inc.   2012 CA-DBO $8,200,000
Beam Suntory Inc. Suntory beverages 2018 SEC $8,181,838
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Latour Trading LLC   2015 SEC $8,053,439
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
New Golden Investment Group   2011 CFTC $8,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
deVere USA, Inc.   2018 SEC $8,000,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. Endurance International Group business services 2018 SEC $8,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
Applied Digital Technologies, Inc.   2012 CA-DBO $8,000,000
Vereit, Inc. VEREIT Inc. real estate 2020 SEC $8,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Creative Financial Funding, L.L.C. et al.   2002 AZ-SEC $7,947,777
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
ACI Inc.   2004 SEC $7,756,750
Equal Earth, Inc.   2019 SEC $7,655,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Susquehanna Investment Group   2009 SEC $7,640,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
RFF GP LLC and KGW Capital Management LLC   2015 CFTC $7,515,888
Navistar International Corp. Navistar motor vehicles 2016 SEC $7,500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Intertech Solutions, Inc.   2018 SEC $7,400,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NH-BSR $7,375,000
PNC Investments LLC   2018 SEC $7,307,770
Saber Funds, LLC et. al.   2015 NJ-BOS $7,282,500
Worldwide Capital, Inc.   2014 SEC $7,253,726
Atlantas Group, Inc.   2016 CFTC $7,200,000
Texas Coastal Energy Company   2018 SEC $7,200,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs financial services 2009 SEC $7,200,000
Goldman Sachs & Co. Goldman Sachs financial services 2015 SEC $7,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs financial services 2012 CFTC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 SEC $7,000,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
Quadrangle Group LLC   2010 NY-AG $7,000,000
Martin & Griffin, LLC   2003 AZ-SEC $6,982,222
Integra Capital Management, LLC   2011 CFTC $6,900,000
Interinvest Corporation   2016 SEC $6,900,000
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
Ascenergy LLC   2017 SEC $6,859,690
Oxford City Football Club, Inc.   2017 SEC $6,853,358
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
Longfin Corp.   2019 SEC $6,755,848
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
Maize Capital Management, LLC and Maize Asset Management, LLC   2015 CFTC $6,702,818
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
Simpson Capital Management, Inc.   2009 SEC $6,650,000
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
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.