Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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.
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
VC Direct Solutions   2013 ME-SEC $8,000
VCAP Securities   2015 SEC $1,477,332
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
Velocity Futures, LLC   2013 CFTC $300,000
Velocity Futures, LLC   2011 CFTC $180,000
Venture Capital Holdings LLC   2006 SEC $4,808,953
Venture Capital Investments LLC   2020 CFTC $900,604
Venulum Ltd.   2013 SC-SEC $5,500
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Veras Investment Partners, LLC   2005 CFTC $500,000
Veravest Investments, Inc.   2003 FL-OFR $5,000
Vereit, Inc. VEREIT Inc. real estate 2020 SEC $8,000,000
Vericorp, Inc.   2012 CA-DFPI $8,200,000
VERITRAX CORPORATION   2011 VA-SEC $1,550,000
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Vertical Capital Partners, Inc.   2007 SEC $490,432
Vertical Integration Group LLC   2014 CFTC $3,120,688
Vertical Integration Group LLC dba Churchill Clearing Corp.   2014 FL-OFR $550,000
Vertical Securities, LLC and Vertical Group, LLC   2005 MO-SEC $5,000
Verto Capital Management   2017 SEC $4,158,517
Verto Capital Management LLC   2018 SEC $620,594
Vespers, LLC   2012 HI-SEC $230,000
Vestreon Funding, L.L.C.   2006 IL-SEC $10,000
Veteri Place Corp.   2018 SEC $75,000
VFG, LLC fka Voyager Financial Group, LLC   2014 FL-OFR $60,000
vFinance Investments, Inc.   2008 SEC $26,559
vFinance Investments, Inc.   2005 SEC $50,000
VFRS LLC   2013 CFTC $3,200,000
VI Capital Management, LLC   2018 WA-FIN $12,500
Viatical Center, Inc.   2002 AZ-SEC $12,500
Victoire Finance Capital LLC   2008 SEC $215,631
Victory Asset   2018 CFTC $1,800,000
Victory H2O Distribution, LLC   2017 MI-SEC $30,000
Vinci Partners Investimentos   2014 SEC $448,707
Vining Sparks IBG, L.P.   2010 CT-SEC $20,000
VipBinary.com et al.   2012 MD-SEC $25,000
Virginia Commercial Capital Corp.   2012 IL-SEC $18,500
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Virtu ITG Canada Corp.   2020 SEC $200,000
Virtual Mining Corp. and Active Mining Corp.   2015 MO-SEC $43,115
Virtual Vision Inc.   2012 CFTC $1,000,000
Virtus Investment Advisers, Inc.   2015 SEC $16,500,000
Vision Financial Markets LLC   2013 CFTC $525,000
Vision Financial Markets LLC   2013 CFTC $140,000
Vision Financial Markets LLC   2019 CFTC $200,000
Vision Financial Partners, LLC   2017 CFTC $6,527,130
Vision Securities, Inc.   2006 CT-SEC $15,000
Vision Technologies, Inc.   2014 AR-SEC $8,000
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Visionary Group Holdings, Inc.   2011 CA-DFPI $1,285,750
Visionary Sports Entertainment, Inc.   2009 CO-SEC $92,307
VisionPoint Advisory Group, LLC   2017 SEC $45,000
Visium Asset Management LP   2018 SEC $10,120,711
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Vlad Investments, LLC   2011 WA-FIN $6,350
Vocelli, LLC   2013 MD-SEC $5,000
Voice, Video & Data Services, Inc.   2008 KY-FIN $10,000
Vollero Beach Capital Partners   2013 SEC $864,427
Volumetric Fund, Inc.   2021 CT-BKG $10,000
VOS Capital Management, LLC   2020 CFTC $3,813,875
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Voyager Financial Group, LLC   2013 IA-INS $10,000
VSR Financial Services, Inc.   2011 MO-SEC $55,470
VSS Fund Management LLC   2018 SEC $200,000
Vstock Transfer LLC   2020 SEC $65,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc.   2000 FL-OFR $12,000
W & R Insurance Agency of Montana, Inc.   2005 MT-SEC $25,000
W Resources LLC   2017 CFTC $150,000
W.J. Nolan & Co.   2001 SEC $192,028
W.J. Nolan & Co., Inc.   2002 SEC $192,028
W.L. Lyons, LLC   2016 SEC $200,000
W.R Starkey Mortgage, LLP   2010 AR-SEC $20,000
Wachovia Capital Markets LLC Wells Fargo financial services 2006 MULTI-AG $25,000,000
Wachovia Capital Markets LLC Wells Fargo financial services 2007 MULTI-FIN $24,650,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 MD-AG $402,386
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Wachovia Securities Wells Fargo financial services 2008 MULTI-AG $60,000,000
Wachovia Securities LLC Wells Fargo financial services 2007 ND-SEC $75,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo financial services 2011 NJ-AG $3,200,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo financial services 2010 CT-SEC $75,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. financial services 2008 OK-SEC $10,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 MO-SEC $172,161
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2016 NH-BSR $900,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MULTI-FIN $18,000,000
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.