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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$11,679,855,33361
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. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc   2005 SEC $40,000
Marketxt, Inc.   2005 SEC $49,965
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
vFinance Investments, Inc.   2005 SEC $50,000
Capital Analysts Incorporated   2005 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Colley Asset Management, Inc.   2005 SEC $100,000
Brean Murray & Co., Inc.   2005 SEC $150,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
Groh Asset Management, Inc.   2004 SEC $45,000
Kiely Financial Services, Inc.   2004 SEC $154,256
Rudney Associates, Inc.   2004 SEC $62,330
Taglich Brothers, Inc.   2004 SEC $50,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
JC Management, Inc.   2004 SEC $27,991
Connecticut Capital Markets, L.L.C.   2004 SEC $259,110
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Fidelity National Capital Investors, Inc.   2004 SEC $125,000
Freedom Financial, Inc.   2004 SEC $25,000
David Lerner Associates, Inc.   2004 SEC $50,000
Nevis Capital Management, LLC   2004 SEC $1,700,000
Hard Asset Management, Inc.   2004 SEC $62,439
Celebrity Resorts and Casinos, Inc.   2004 SEC $347,250
Research Investment Group, Inc.   2004 SEC $24,721
FT Interactive Data   2003 SEC $125,000
Brut, LLC Nasdaq Inc. financial services 2003 SEC $45,000
Research Capital, LLC   2003 SEC $6,337
EquityAlert.com, Inc. and Innotech Corporation   2003 SEC $31,555
Mid-Ohio Securities Corp.   2003 SEC $25,000
Andover Brokerage, LLC   2003 SEC $151,876
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
Ascend Capital, LLC   2003 SEC $46,258
Jamison, Eaton & Wood, Inc.   2003 SEC $100,000
Baron Capital, Inc.   2003 SEC $2,000,000
Harvest Financial Corporation   2003 SEC $25,000
Gemisys Corporation   2002 SEC $15,000
Millenium Capital Advisors of Pennsylvania, Inc   2002 SEC $50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC   2002 SEC $175,000
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
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.