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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Portfolio Advisory Services, LLC   2002 SEC $50,000
Portfolio Timing Service dba PTS Asset Management   2011 CT-SEC $25,000
Positive News Increase, Inc.   2006 MS-SEC $25,000
Potomac Asset Management Company, Inc   2017 SEC $300,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
PowerOne Corp.   2014 AR-SEC $5,000
PowerOne Corporation   2018 SC-SEC $10,000
PowerWater Systems, Inc.   2013 CT-SEC $225,000
PowerWater USA Ltd.   2013 CT-SEC $200,000
PPS Advisors Inc.   2018 SEC $706,746
Practical Wealth Advisors, LLC   2020 PA-BKG $25,000
Prager & Co., LLC   2015 SEC $100,000
Prager, Sealy & Co., LLC   2005 FINRA $30,000
Pre-IPO Venture Capital Fund, L.L.C.   2002 AZ-SEC $525,000
Precigen, Inc. Precigen agribusiness 2020 SEC $2,500,000
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Preferred Funding, Inc.   2001 WA-FIN $5,000
Preferred Spectrum Investments, LLC et al.   2016 CO-SEC $25,000
Premier Capital Advisors, Inc.   2009 MO-SEC $10,000
Premier Capital LLC   2013 OK-SEC $10,000
Premier Financial Management, LLC   2014 FL-OFR $58,000
Premier Group Inc.   2003 TX-SEC $5,000
Premier Holding Corp.   2021 SEC $9,691,500
Premier Marketing & Investments, Inc.   2001 ID-SEC $40,000
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
Premier Marketing Solutions, LLC   2018 MD-SEC $20,000
Premiere Planning, Inc.   2010 IN-SEC $7,500
Premiere Power LLC   2015 SEC $2,587,523
Premium Income Corp.   2007 CFTC $123,000,000
Prescient Capital Partners, Ltd.   2012 SEC $29,968
Prescott General Partners LLC   2018 SEC $75,000
Press-A-Print International LLC   2009 CT-SEC $25,000
Pressio Capital Management, LP   2010 CFTC $1,000,000
Presstek Inc. American Industrial Partners private equity (including portfolio companies) 2010 SEC $400,000
Prestige Capital Advisors and D2W Capital Management   2013 CFTC $11,700,000
Prestige Ventures Corporation and Federated Management Group, Inc.   2010 CFTC $26,000,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
Preston Wealth Management, LLC   2014 DC-DISB $432,525
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
Primary Enterprises, Inc. dba Low Book Auto Sales   2014 ID-SEC $10,000
Prime Atlantic, Inc.   2000 SEC $12,682,820
Prime Capital Services, Inc.   2010 SEC $144,262
Prime Time Group Inc.   2010 SEC $325,000
PrimeBuy Network.Com, Inc.   2002 ID-SEC $55,000
PrimeFund, Inc. dba WealthFlex   2020 WA-SEC $12,500
PrimeVest Financial Services, Inc.   2010 IL-SEC $50,000
Primitive Methodist Investment Foundation, Inc.   2019 PA-BKG $100,000
Primoris Services Corporation Primoris Services construction and engineering 2018 SEC $200,000
Princeton Global Management Ltd. and Princeton Economics International Ltd.   2009 CFTC $27,000,000
Principal Investors Fund, Inc.   2008 MD-SEC $15,000
Principal Life Insurance Company Principal Financial financial services 2004 ND-SEC $30,000
Principal Securities, Inc. Principal Financial financial services 2019 SEC $1,764,624
Principia Investment Advisors, LLC   2013 GA-SEC $10,000
Princor Financial Services Corp.   2009 MO-SEC $226,700
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Priority Wealth Advisors, Inc.   2020 CA-DFPI $10,000
Pristine Property & Investments, Inc.   2005 AZ-SEC $107,704
Private Advisor Group LLC   2017 PA-BKG $20,000
Private Lender Funding, Inc. and The Moyer Company   2003 WA-FIN $12,500
Private Portfolio, Inc.   2019 SEC $43,061
Pro Trader Institute, LLC and National Market Enterprises, Inc.   2016 MO-SEC $24,869
Pro Trading Course, LLC   2012 CFTC $600,000
Pro-Matrix Technologies, L.L.C.   2003 IL-SEC $20,000
Pro-Tech Enterprises, LLC   2012 NJ-BOS $35,000
ProEquities, Inc Dai-ichi Life financial services 2012 MULTI-FIN $435,000
ProEquities, Inc. Dai-ichi Life financial services 2019 SEC $1,852,383
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life financial services 2010 IN-SEC $9,000
ProEquities, Inc. Dai-ichi Life financial services 2015 MO-SEC $128,528
ProEquities, Inc. Dai-ichi Life financial services 2009 FINRA $25,000
Professional Asset Management Inc.   2004 TN-SEC $22,550
Professional Resource Network, LLC   2005 MO-SEC $15,000
Profile Club Inc.   2015 NH-BSR $5,000
Profitable Investments, Inc.   2005 MD-SEC $5,795
ProfitStars Intl, Corp.   2012 CFTC $280,000
Profutura LLC   2001 AZ-SEC $6,215,350
Progress Marketing Management, LLC   2019 MO-SEC $27,645
Progressive Energy Partners LLC et al.   2009 WA-FIN $51,500
Progressive Energy Partners, L.L.C. et al.   2010 AZ-SEC $312,721
Progressive Investment Funds LLC   2012 CFTC $700,000
Project Goshen, Inc.   2008 MD-SEC $63,000
Prominence Homes, LLC   2019 AL-SEC $100,000
Promise Land Properties, LLC   2013 AZ-SEC $983,000
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
Property Fraud Prevention, LLC   2015 MN-FIN $10,000
Property Quest D.J.E., Inc.   2008 AZ-SEC $5,210,399
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Prophet Financial Planning, LLC   2019 CT-SEC $10,000
Prosapia Financial LLC and Prosapia Capital Management LLC   2010 IA-INS $10,000
Prosidian Medical Malpractice Insurance Corp.   2013 FL-OFR $78,750
Prosidian, LLC   2012 FL-OFR $78,750
ProSky, Inc.   2021 SEC $4,700,000
Prosper Marketplace Prosper Marketplace financial services 2015 IN-SEC $13,957
Prosper Marketplace Inc. Prosper Marketplace financial services 2009 OR-FIN $15,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Prosper Marketplace, Inc. Prosper Marketplace financial services 2010 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2012 CT-SEC $40,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 MD-SEC $28,706
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
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.