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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$13,547,438,962115
UBS$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Massachusetts Financial Services Company Sun Life Financial financial services 2003 SEC $917,858
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Lehman Brothers, Inc. Lehman Brothers financial services 2003 SEC $2,500,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc.   2003 SEC $10,500,000
The Gaming Factory, Inc.   2003 SEC $2,100,102
Prudential Securities, Inc. Wells Fargo financial services 2003 SEC $382,000
Stratcomm Media Ltd.   2003 SEC $45,400,000
EyeCashNetworks, Inc. and Alliance Equities, Inc.   2003 SEC $688,230
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2003 SEC $110,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 SEC $80,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2003 SEC $200,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 SEC $32,500,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
North American Medical Products, Inc.   2003 SEC $120,000
TrendsGroup International, Inc.   2003 SEC $445,691
Rhino Advisors Inc.   2003 SEC $1,000,000
Africa Gemstone Corporation   2003 SEC $242,840
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
Anamar Communications, Inc.   2002 SEC $136,917
Basic Capital Management, Inc.   2002 SEC $850,000
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
W.J. Nolan & Co., Inc.   2002 SEC $192,028
Advance Local Development Corp.   2002 SEC $9,509,736
Commercial Express, LLC and Progressive Financial, Inc.   2002 SEC $23,032,869
Big Country AGS, Inc. d/b/a AGS, Inc.   2002 SEC $242,840
iCapital Markets LLC   2002 SEC $6,300,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
TLC Investments & Trade Co.   2001 SEC $106,600,000
Commonwealth Communications Group   2001 SEC $716,516
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications   2001 SEC $41,727,403
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc.   2001 SEC $9,395,066
World Financial & Investment Co., Inc.   2001 SEC $175,000
The Globus Group   2001 SEC $300,000
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
Pacific Air Transport   2001 SEC $1,364,692
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
One Touch Marketing, Inc.   2001 SEC $118,387
Sunset Investment Group, Inc.   2001 SEC $70,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Yes Entertainment, LLC   2000 SEC $14,546,808
First Paragon, Inc.   2000 SEC $1,040,000
EquityAlert.com, Inc.   2000 SEC $20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
JW Charles Financial Services, Inc.   2000 SEC $20,000
Millennium Software Solutions, Inc.   2000 SEC $760,450
New Concepts, L.L.C.   2000 SEC $20,000
Liberty Capital Group, Inc.   2000 SEC $35,000
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs financial services 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
William R. Hough & Co.   2000 SEC $3,264,000
Prime Atlantic, Inc.   2000 SEC $12,682,820
DynamicDaytrader.com   2000 SEC $55,107
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Robert W. Baird & Co.   2016 SEC $250,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Forcerank LLC   2016 SEC $50,000
Artis Capital Management   2016 SEC $8,878,015
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
EZTD Inc.   2016 SEC $1,700,000
Pacific Investment Management Company (PIMCO)   2016 SEC $19,829,807
Equidate Inc.   2016 SEC $80,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Adams Capital Management   2017 SEC $45,000
Aisling Capital   2017 SEC $70,456
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Alta Communications   2017 SEC $35,000
Commonwealth Venture Management Corporation   2017 SEC $75,000
Cypress Advisors   2017 SEC $35,000
FFL Partners   2017 SEC $75,000
Lime Rock Management   2017 SEC $75,000
NGN Capital   2017 SEC $100,000
Pershing Square Capital Management   2017 SEC $75,000
The Banc Funds Company   2017 SEC $75,000
Citadel Securities LLC   2017 SEC $22,600,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
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.