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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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Allen Financial Group, Inc.   2000 FL-OFR $50,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Alliance Capital Management Equitable Holdings financial services 2003 NY-AG (*) $600,000,000
Alliance Capital Management L.P. Equitable Holdings financial services 2003 SEC $250,000,000
Alliance Capital Metals LLC and AR Goldman Wealth Management, LLC   2012 CFTC $2,500,000
Alliance Development Company   2008 CFTC $2,200,000
Alliance Financial Services of Illinois Ltd.   2009 IL-SEC $10,000
Alliance Trust and Chemical Trust and United Marketing Trust   2000 AZ-SEC $75,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
AllianceBernstein Investments, Inc. Equitable Holdings financial services 2007 FINRA $100,000
AllianceBernstein L.P. Equitable Holdings financial services 2013 CO-SEC $20,232
AllianceBernstein L.P. Equitable Holdings financial services 2012 DE-SEC $20,000
AllianceBernstein, L.P. Equitable Holdings financial services 2007 SEC $450,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
Allied Energy Group et al.   2004 TX-SEC $8,000
Allied Energy, Inc.   2015 AR-SEC $7,500
Allied Energy, Inc.   2010 KY-FIN $50,000
Allied Energy, Inc. fka Allied Syndications, Inc.   2018 CT-SEC $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Allied Markets, LLC   2019 CFTC $2,400,000
Allied Syndications, Inc. dba Allied Energy Group   2007 KY-FIN $10,000
Allied Trading Group   2017 MO-SEC $118,481
Allmerica Investments, Inc.   2001 FINRA $15,000
Allsource Financial Management, LLC   2015 MD-SEC $10,578
Allstate Financial Services LLC Allstate financial services 2004 FINRA $150,000
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-DFPI $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-DFPI $100,000
Alpine Securities Corporation   2010 FINRA $40,000
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
Altegris Investments, Inc.   2003 FINRA $175,000
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-DFPI $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 Alternative Investments, LLC   2020 ID-SEC $5,250
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 Equities, Inc.   2020 WA-SEC $115,000
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 Ameriprise Financial financial services 2005 FINRA $13,000,000
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 2004 FINRA $700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2002 FINRA $350,000
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 Express Financial Advisors, Inc. Ameriprise Financial financial services 2004 FINRA $300,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
American Fiber Green Products, Inc.   2008 WA-FIN $5,000
American Fund Distributors   2008 FINRA $5,000,000
American Funds Distributors Inc.   2006 FINRA $5,000,000
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 General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
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 Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
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.