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
Lazare Industries, Inc.   2008 SEC $1,975,911
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Microphase Corp.   2007 SEC $700,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) financial services 2007 SEC $50,000,000
Regional Brokers, Inc.   2007 SEC $100,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Commonwealth Equity Services, LLP   2007 SEC $250,000
Detwiler, Mitchell, Fenton & Graves, Inc.   2007 SEC $250,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Platforms Wireless International Corp.   2007 SEC $2,431,213
GLG Partners, L.P.   2007 SEC $3,203,639
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Blue Bottle Limited   2007 SEC $10,846,785
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs financial services 2007 SEC $2,000,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC   2007 SEC $455,700
Crestview Capital Partners   2007 SEC $394,640
GetAnswers, Inc.   2007 SEC $15,713,676
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
20th Century Jackson Equities, Inc.   2007 SEC $470,269
1st Global Capital Corp.   2006 SEC $100,000
Hartford Financial Services Group, Inc. Hartford Financial Services financial services 2006 SEC $55,000,000
U.S. Wind Farming, Inc.   2006 SEC $38,487
U.S. Gas & Electric, Inc.   2006 SEC $167,000
Graycort Financial, LLC   2006 SEC $100,000
BISYS Fund Services, Inc.   2006 SEC $21,400,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2006 SEC $125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
Piper Jaffray & Co. Piper Sandler financial services 2006 SEC $125,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
SunTrust Capital Markets Inc. Truist Financial financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Unified Fund Services, Inc.   2006 SEC $125,000
Bio-Heal Laboratories, Inc.   2006 SEC $618,135
National Clearing Corporation   2006 SEC $2,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
Langley Partners, North Olmsted Partners and Quantico Partners   2006 SEC $13,517,928
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
Venture Capital Holdings LLC   2006 SEC $4,808,953
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management   2005 SEC $148,000,000
Federated Investors, Inc. Federated Hermes financial services 2005 SEC $72,000,000
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
DB Investment Managers, Inc.   2005 SEC $33,159
Galleon Management, L.P.   2005 SEC $2,020,450
Oaktree Capital Management, LLC Oaktree Capital Management private equity (including portfolio companies) 2005 SEC $345,701
Stracq, Inc.   2005 SEC $660,000
New York Stock Exchange, Inc. IntercontinentalExchange Group financial services 2005 SEC $20,000,000
Capital Concept Marketing, Inc.   2005 SEC $580,000
Flowserve Corporation Flowserve industrial equipment 2005 SEC $350,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
Herman's World of Sports, Inc.   2005 SEC $663,685
Goldman, Sachs & Co. Goldman Sachs financial services 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
PanaMed Corp.   2004 SEC $5,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
First Command Financial Planning, Inc.   2004 SEC $12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
Fremont Investment Advisors   2004 SEC $4,146,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco financial services 2004 SEC $325,000,000
RS Investment Management L.P.   2004 SEC $25,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
Bridgeway Capital Management   2004 SEC $5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
National Institute Companies of America, Inc.   2004 SEC $1,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
ACI Inc.   2004 SEC $7,756,750
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.