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
Needham & Company, Inc.   2004 SEC $700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Inviva Inc.   2004 SEC $5,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Franklin Advisers, Inc. Franklin Resources financial services 2004 SEC $50,000,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Performance Specialist Group LLC   2004 SEC $2,171,932
SIG Specialists, Inc.   2004 SEC $3,033,589
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
LNB Bancorp, Inc.   2004 SEC $100,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
CDH & Affiliates, Inc.   2004 SEC $4,317,616
Security Trust Company, N.A.   2004 SEC $1,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Fleet Specialist, Inc.   2004 SEC $59,097,469
LaBranche & Co., LLC   2004 SEC $63,518,760
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Ace Payday Plus, LLC   2004 SEC $1,842,133
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
H.D. Vest Investment Securities, Inc.   2004 SEC $725,216
Legg Mason Wood Walker, Inc. Franklin Resources financial services 2004 SEC $2,315,467
Linsco/Private Ledger Corp.   2004 SEC $2,232,805
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 SEC $225,000,000
Alliance Capital Management L.P. Equitable Holdings financial services 2003 SEC $250,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 SEC $50,000,000
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $25,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Goldman Sachs Goldman Sachs financial services 2003 SEC $9,305,382
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 Corporation, and Wireless Cable Television of Shreveport Limited Liability Company   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
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.