« Return to search form

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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Renberg Capital Management, Inc.   2002 SEC $40,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Portfolio Advisory Services, LLC   2002 SEC $50,000
Performance Analytics, Inc.   2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2002 SEC $75,000
Lone Star Transfer, Inc.   2002 SEC $10,000
ND Money Management, Inc.   2002 SEC $10,000
RansonCapital Corporation   2002 SEC $10,000
Roundhill Securities, Inc.   2002 SEC $100,000
Stan D. Kiefer & Associates   2002 SEC $10,000
Delta Equity Services Corporation   2002 SEC $45,000
Norwest Investment Services, Inc. Wells Fargo financial services 2002 SEC $153,245
Pryor, McClendon, Counts & Co., Inc.   2002 SEC $40,000
BNB Capital, Inc.   2002 SEC $5,000
Merrimac Advisors Company   2002 SEC $50,000
Millennium Group of New York, LLC   2001 SEC $7,602
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
Western Asset Management Co. Franklin Resources financial services 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources financial services 2001 SEC $50,000
W.J. Nolan & Co.   2001 SEC $192,028
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
Oechsle International Advisors L.L.C.   2001 SEC $200,000
Hawthorne Associates, Inc.   2001 SEC $25,000
Sage Advisory Services LLC   2001 SEC $288,328
JPR Capital Corp.   2001 SEC $55,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2001 SEC $50,000
United Stock Transfer Inc.   2001 SEC $10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc.   2001 SEC $400,000
Joel R. Mogy Investment Counsel, Inc.?   2001 SEC $12,500
Business & Financial Advisors, Inc.   2001 SEC $128,817
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
Marion Bass Securities Corp.   2000 SEC $150,000
Focus Tech Investments, Inc.   2000 SEC $10,000
Adar International   2000 SEC $10,000
Longman & Associates, Inc.   2000 SEC $10,000
Kading Companies, S.A. and Joning Corp.   2000 SEC $10,000
National Stock Transfer Inc.   2000 SEC $5,000
First Union Securities, Inc. Wells Fargo financial services 2000 SEC $408,931
CGI Capital, Inc.   2000 SEC $25,000
D.E. Frey and Company, Inc.   2000 SEC $100,000
Prospera Financial Services, Inc.   2000 SEC $40,000
Signal Securities Inc.   2000 SEC $50,000
First Colonial Securities Group, Inc.   2000 SEC $25,000
F.W. Thompson Company Ltd.   2000 SEC $100,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Dawson-Samberg Capital Management, Inc.   2000 SEC $100,000
Fahnestock & Co., Inc. Oppenheimer Holdings financial services 2000 SEC $20,000
Janney Montgomery Scott LLC Penn Mutual financial services 2000 SEC $100,000
Owen-Joseph Asset Management Corp.?   2000 SEC $68,000
Founders Asset Management LLC   2000 SEC $50,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Gold Asset Management, Inc.   2000 SEC $20,000
WWW Advisors, Inc.   2000 SEC $5,000
Asset Timing Corp.   2000 SEC $5,000
Investment Street Company and Dynamic Trading of Miami, Inc.   2000 SEC $25,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
Woodbridge Group of Companies LLC   2019 SEC $892,000
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
American Portfolios Advisers Inc.   2018 SEC $1,145,353
PPS Advisors Inc.   2018 SEC $706,746
Wealthfront Advisers LLC   2018 SEC $250,000
Hedgeable Inc.   2018 SEC $80,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC   2018 SEC $51,400,000
Citadel Securities LLC   2018 SEC $3,500,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
Talimco, LLC   2019 SEC $399,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Stephens Inc.   2019 SEC $5,489,119
Select Money Management, Inc.   2019 SEC $61,558
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)   2019 SEC $43,034
M Holdings Securities, Inc.   2019 SEC $1,022,048
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
D.A. Davidson & Co.   2019 SEC $654,276
Trustcore Financial Services, LLC   2019 SEC $422,261
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Spire Wealth Mangement, LLC   2019 SEC $594,072
Lockwood Advisors, Inc.   2019 SEC $52,187
Kestra Private Wealth Services, LLC   2019 SEC $549,003
Kestra Advisory Services, LLC   2019 SEC $6,196,279
Janney Montgomery Scott LLC Penn Mutual financial services 2019 SEC $241,227
Hazlett and Burt & Watson, Inc.   2019 SEC $123,456
Coastal Investment Advisors, Inc.   2019 SEC $76,144
Syndicated Capital, Inc.   2019 SEC $38,991
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
Silversage Advisors   2019 SEC $342,062
Private Portfolio, Inc.   2019 SEC $43,061
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.