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 CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
UBS$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
PNC Investments LLC PNC Financial Services financial services 2010 DE-SEC $250,000
AllianceBernstein L.P. Equitable Holdings financial services 2012 DE-SEC $20,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Janney Montgomery Scott LLC Penn Mutual financial services 2015 DE-SEC $105,000
LPL Financial LLC LPL Financial financial services 2015 DE-SEC $200,000
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 DE-AG $51,400
McLaughlin, Piven & Vogel   2009 DE-AG $60,000
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Pathmaker Solutions, LLC   2020 DE-AG $100,000
Blackboard, Inc.   2004 DC-DISB $5,000
Newbury Street Capital Limited Partnership   2011 DC-DISB $5,590
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Preston Wealth Management, LLC   2014 DC-DISB $432,525
Success Trade Inc.   2015 DC-DISB $13,179,804
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Capital Management Group of Washington, D.C.   2021 DC-DISB $110,000
Black Diamond Research, LLC   2006 CT-SEC $10,900
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
PIPS Inc.   2006 CT-SEC $100,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Digital Entertainment Corp.   2006 CT-SEC $20,000
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Vision Securities, Inc.   2006 CT-SEC $15,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
The Huntington Investment Co.   2006 CT-SEC $13,150
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
International Vacations, Ltd.   2006 CT-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Millenco, L.L.C.   2007 CT-SEC $25,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
Great Eastern Securities, Inc.   2007 CT-SEC $600,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
ICG Financial, LLC   2007 CT-SEC $7,500
Advantage Capital Corp.   2007 CT-SEC $25,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
HCH Cypress, LLC   2007 CT-SEC $200,000
The McCall Business Group, LLC dba MBG Private Trading   2007 CT-SEC $220,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
Managers Distributors, Inc.   2008 CT-SEC $350,000
New Castle Financial Services LLC   2008 CT-SEC $100,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Basic Investors Inc.   2008 CT-SEC $21,500
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Java's Brewin Development, Inc.   2008 CT-SEC $30,000
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
Markland Technologies, Inc.   2008 CT-SEC $100,000
Casimir Capital L.P.   2009 CT-SEC $15,000
Laidlaw & Company (UK) Ltd. fka Sands Brothers International Ltd.   2009 CT-SEC $60,000
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Press-A-Print International LLC   2009 CT-SEC $25,000
American Capital Partners, LLC   2009 CT-SEC $15,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Multivend, LLC dba Vendstar   2009 CT-SEC $5,000
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
McMahan Securities Co. L.P.   2010 CT-SEC $20,130
Mercer Capital Ltd.   2010 CT-SEC $5,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Woodstock Financial Group, Inc.   2010 CT-SEC $20,000
Royal Burgundy International, Inc.   2010 CT-SEC $25,000
TDA Advantage Trust   2010 CT-SEC $30,000
Forman Financial Services, LLC   2010 CT-SEC $25,000
Blue Coast Financial Group, Inc.   2010 CT-SEC $25,000
Itradedirect.com Corp.   2010 CT-SEC $45,000
Vining Sparks IBG, L.P.   2010 CT-SEC $20,000
Andrew Garrett Inc.   2010 CT-SEC $20,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2010 CT-SEC $5,000
Asset & Financial Planning, Ltd.   2010 CT-SEC $11,150
JHS Capital Advisors, Inc. fka Pointe Capital, Inc.   2010 CT-SEC $10,000
J. Lawson & Associates, Inc.   2010 CT-SEC $50,000
Grove Electronics, LLC dba Chip Partners LLC   2010 CT-SEC $10,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo financial services 2010 CT-SEC $75,000
Westrock Advisors, Inc.   2011 CT-SEC $250,000
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.