Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
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
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
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Secure Resolutions, Inc.   2010 AZ-SEC $3,685,653
Locke Capital Management Inc.   2011 SEC $3,673,996
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
Mark Olsen Mining Company   2019 CFTC $3,631,280
Severns Properties, LLC and Severns Capital, LLC   2008 AZ-SEC $3,631,115
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Nato Enterprises, LLC   2010 AZ-SEC $3,625,127
RA Capital Management   2014 SEC $3,624,359
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
National Equity Holdings, Inc.   2013 CFTC $3,600,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2018 SEC $3,600,000
Madigan Enterprises, Inc. et al.   2018 CFTC $3,589,913
PlanMember Securities Corporation   2019 SEC $3,550,660
5A Holdings, LLC   2018 MO-SEC $3,548,483
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings financial services 2019 SEC $3,528,377
SK Madison Commodities, LLC   2014 CFTC $3,523,846
Oxford Capital   2014 CFTC $3,519,309
Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC   2013 CFTC $3,500,000
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
First Reserve Management, L.P.   2016 SEC $3,500,000
Heartland Advisors, Inc.   2008 SEC $3,500,000
Citadel Securities LLC   2018 SEC $3,500,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Fidelity Co-operative Bank   2014 MA-SEC $3,500,000
Canarsie Capital, LLC   2015 SEC $3,494,938
FxTrade Financial, LLC   2007 CFTC $3,466,000
Benjamin F. Edwards & Co., Inc.   2019 SEC $3,445,264
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
Platinum Equity Advisors, LLC   2017 SEC $3,402,132
Lansing Trade Group, LLC Lansing Trade Group financial services 2018 CFTC $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Scottsdale Financial Funding Group, LLC   2003 AZ-SEC $3,391,570
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Global Fixed Income, LLC, et al.   2015 SEC $3,385,989
The Lighthouse Events, LLC   2020 SEC $3,381,686
Newbridge Alliance, Inc. and United States Capital Trust, LLC   2014 CFTC $3,381,179
Leland Energy et al.   2018 AZ-SEC $3,372,537
Blue Bit Banc et al.   2019 CFTC $3,346,405
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
BDL Manager LLC   2014 SEC $3,297,740
William R. Hough & Co.   2000 SEC $3,264,000
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
Level Global Investors, L.P.   2011 SEC $3,244,171
Impact, Inc. et al.   2011 ID-SEC $3,238,505
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Everest Capital LLC   2020 SEC $3,208,226
GLG Partners, L.P.   2007 SEC $3,203,639
VFRS LLC   2013 CFTC $3,200,000
Wachovia Securities, LLC Wells Fargo financial services 2011 NJ-AG $3,200,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
CFO-5 LLC   2010 SEC $3,197,222
International Equity Advisors, LLC   2005 SEC $3,190,000
JGP Global Gestao de Recursos   2013 SEC $3,180,424
International Capital Group, LLC   2015 SEC $3,170,054
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Vertical Integration Group LLC   2014 CFTC $3,120,688
Trademark Capital Management, LLC and Blue Investments, LLC   2009 AZ-SEC $3,100,880
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
SIG Specialists, Inc.   2004 SEC $3,033,589
The Princeton Partnership, LLC   2015 MO-SEC $3,016,710
ICE Futures U.S. Inc. IntercontinentalExchange Group financial services 2015 CFTC $3,000,000
Olam International Ltd. and Olam Americas Inc.   2015 CFTC $3,000,000
Demuzio Capital Management, LLC   2012 CFTC $3,000,000
Safeguard 3030 Investment Club   2012 CFTC $3,000,000
Intrade The Prediction Market Limited (Intrade) and Trade Exchange Network Limited   2018 CFTC $3,000,000
BGC Financial, L.P. BGC Partners financial services 2019 CFTC $3,000,000
ING Life Insurance and Annuity Company Voya Financial financial services 2006 NH-BSR $3,000,000
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC   2015 AZ-SEC $2,995,500
MKJJ Consulting LLC   2017 SEC $2,973,916
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
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.