Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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.
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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Allsource Financial Management, LLC   2015 MD-SEC $10,578
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
Alms and Associates, Inc.   2013 MD-SEC $25,000
Alpha Capital Partners, LLC   2012 CA-DBO $11,000
Alpha Energy Inc. and Alliance Resources Group Inc.   2008 OR-FIN $480,000
Alpha Fiduciary, Inc.   2015 SEC $250,000
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Alpha Titans LLC   2015 SEC $698,450
Alpha Trade Group S.A.   2013 CFTC $5,779,000
Alpha Wealth Group   2013 IL-SEC $20,000
ALPHACOM, INC.   2002 VA-SEC $20,000
AlphaMetrix, LLC   2014 CFTC $5,600,000
AlphaQuest Partners LLC   2019 MN-FIN $10,000
Alpine Petroleum, LLC and Red Earth Resources, Inc.   2008 MD-SEC $90,000
Alpine Pictures, Inc.   2011 CA-DBO $100,000
Alpine Woods Capital Investors, LLC   2011 SEC $650,000
Alta Communications   2017 SEC $35,000
Altaba Inc. Altaba diversified 2018 SEC $35,000,000
Altair Nanotechnologies, Inc.   2016 SEC $250,000
Altamont Global Partners LLC   2014 CFTC $15,800,000
Alternative Asset Management Securities, LLC   2017 NH-BSR $5,000
Alumin USA, Ltd.   2018 IL-SEC $100,000
Amada Capital Management LLC   2020 CFTC $596,700
Amada Franchise, Inc.   2020 CA-DBO $10,000
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
Amaranth Advisors L.L.C.   2007 SEC $716,819
AMAZING FINISH, LLC   2017 VA-SEC $5,000
Amazon Exploration LLC   2013 IA-INS $10,000
Ambit Capital Pvt. Ltd.   2012 SEC $30,910
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC   2018 SEC $51,400,000
America's Best Financial Services, Inc.   2011 IL-SEC $7,500
Americafirst Capital Management, LLC   2018 SEC $50,000
American Blast Systems, Inc.   2017 MN-FIN $5,000
American Bondholders Foundation, LLC   2020 SEC $65,000
American Bullion Exchange   2014 CFTC $18,000,000
American Capital Corporation   2002 ND-SEC $8,000
American Capital Partners, LLC   2009 CT-SEC $15,000
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
American Equity Investment Life Insurance Co.   2008 MN-AG $250,000
American Express Financial Advisors Ameriprise Financial financial services 2000 AZ-SEC $125,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NH-BSR $7,375,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2002 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2005 MN-FIN $2,000,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
American Fiber Green Products, Inc.   2008 WA-FIN $5,000
American General Securities Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MS-SEC $215,000
American General Securities Incorporated Reverence Capital Partners private equity (including portfolio companies) 2010 MULTI-FIN $215,000
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
American High Technology Center, Inc. and Kalimantan Mining, LLC   2007 MD-SEC $20,000
American Income Real Estate Investments, Inc.   2005 FL-OFR $54,598
American Insurance Services, L.L.C.   2002 AZ-SEC $810,300
American International Group American International Group financial services 2010 OH-AG $725,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
American Life, Inc.   2016 SEC $1,000,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
American Portfolio Asset Management, Inc.   2015 CFTC $578,474
American Portfolios Advisers Inc.   2018 SEC $1,145,353
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
American Registrar & Transfer Company   2016 SEC $25,649
American River Capital, Inc. et al.   2009 MD-SEC $40,000
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Americus Home Loans, Inc.   2009 CO-SEC $400,000
AmeriFirst Management LLC   2014 CFTC $35,000,000
Ameriplan USA Corp.   2006 MT-SEC $200,000
Ameriprise Advisor Services Inc. Ameriprise Financial financial services 2009 RI-FIN $48,411
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2009 MULTI-FIN $720,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 NJ-AG $375,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 CA-DBO $115,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MA-SEC $400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 MS-SEC $150,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2014 NH-BSR $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 NH-BSR $30,800
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 WA-FIN $55,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Amerisave Mortgage Corporation AmeriSave Mortgage financial services 2013 MULTI-FIN $2,300,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
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(*): 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.