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 Companies | Total Penalty $ | Number of Records |
|---|---|---|
| Bank of America | $13,547,438,962 | 115 |
| UBS | $11,680,355,333 | 62 |
| Citigroup | $8,177,245,730 | 64 |
| JPMorgan Chase | $6,210,421,206 | 73 |
| Morgan Stanley | $4,209,326,733 | 141 |
| Deutsche Bank | $4,049,166,828 | 40 |
| Goldman Sachs | $3,904,979,984 | 40 |
| Wells Fargo | $2,487,362,735 | 82 |
| American International Group | $1,623,560,000 | 10 |
| MF Global | $1,324,000,000 | 3 |
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.
| Company | Parent | Parent Major Industry | Year |
Agency |
Penalty Amount |
|---|---|---|---|---|---|
| MFB Investments, LLC | 2018 | WI-FIN | $211,539 | ||
| The Investment Counsel, LLC | 2016 | WI-FIN | $60,000 | ||
| Herget Group, LLC | 2015 | WI-FIN | $166,400 | ||
| The Prudential Investment Portfolios, Inc. | 2007 | WI-FIN | $5,000 | ||
| Raymond James Financial Services, Inc. | Raymond James Financial | financial services | 2007 | WI-FIN | $50,000 |
| Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | financial services | 2005 | WI-FIN | $7,000 |
| PV Wealth Advisors, LLC | 2021 | WI-FIN | $204,737 | ||
| SB Financial Group | 2020 | WI-FIN | $25,000 | ||
| UAB Mid West Group | 2020 | WI-FIN | $250,000 | ||
| Geaux Global | 2020 | WI-FIN | $155,000 | ||
| CTOption | 2020 | WI-FIN | $24,000 | ||
| Kaboom USA, LLC and SKEARCH, LLC | 2021 | WI-FIN | $5,000 |
(*): 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.
