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
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS financial services 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
UBS Financial Services, Inc. UBS financial services 2011 FINRA $10,750,000
UBS Financial Services, Inc. UBS financial services 2009 FINRA $100,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2007 FINRA $370,000
UBS Global Asset Management UBS financial services 2012 SEC $300,000
UBS International Inc. UBS financial services 2005 FINRA $10,000
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
UBS Securities UBS financial services 2009 FINRA $268,000
UBS Securities LLC UBS financial services 2015 SEC $14,400,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
UBS Securities LLC UBS financial services 2011 FINRA $12,000,000
UBS Securities LLC and UBS Financial Services Inc. UBS financial services 2008 MULTI-FIN (*) $150,000,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
UBS Securities, L.L.C. UBS financial services 2004 FINRA $10,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS financial services 2015 SEC $17,500,000
UCI Wealth Advisors LLC   2016 ID-SEC $19,700
Ultimate Business Solutions, LLC   2015 MO-SEC $18,500
Ultimate Ventures Inc.   2007 OR-FIN $60,000
Ultimate Ventures, Inc.   2005 ID-SEC $2,771,378
Ultra Global International, Inc.   2016 MO-SEC $200,000
Ulysses Partners, LLC   2014 CT-SEC $25,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
UMB Financial Services, Inc.   2008 MO-SEC $43,000
Umbrella Research, LLC   2017 SEC $16,676
Under Armour Inc. Under Armour apparel 2021 SEC $9,000,000
Uni-Pixel Inc.   2016 SEC $750,000
Unified Fund Services, Inc.   2006 SEC $125,000
Unikrn Inc.   2020 SEC $6,100,000
Unikrn Inc.   2020 WA-SEC $310,000
United American Ventures, LLC   2012 SEC $9,079,372
United Bankers' Bank   2016 SEC $160,000
United Energy, Inc.   2004 CFTC $20,000
United Fidelity Funding Corp.   2010 AR-SEC $12,500
United Global Securities, Inc.   2009 SEC $25,000
United Gold Direct, LLC   2020 CA-DFPI $45,112
United Industrial Corporation   2009 SEC $337,679
United Planners' Financial Services of America   2019 MA-SEC $100,000
United Planners' Financial Services of America, A Limited Partnership   2001 AZ-SEC $79,000
United Private Capital, Inc.   2015 IL-SEC $15,000
United Securities Alliance, Inc.   2002 FL-OFR $10,000
United Stock Transfer Inc.   2001 SEC $10,000
Unity Financial, LLC   2004 AZ-SEC $1,642,564
Unity Oil & Gas   2018 MO-SEC $42,135
Universal Electronics Inc. Universal Electronics Inc. electrical and electronic equipment 2014 SEC $75,000
Universal Financial Group   2005 MD-SEC $150,000
Universal FX Incorporated   2005 AZ-SEC $5,000
Universal Stock Transfer, Ltd.   2017 MT-SEC $56,852
University Capital Solutions, LLC   2017 MI-SEC $10,000
Unlimited Cash Inc.   2006 OR-FIN $100,000
Unlimited Cash, Inc. and Douglas Network Enterprises   2007 IL-SEC $75,000
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Upstream Energy Services LLC   2019 CFTC $75,000
Upstream Solutions, LLC   2015 WA-FIN $18,000
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
URBAN BAR-B-QUE COMPANY   2014 VA-SEC $5,000
Urban Traffic   2019 WA-FIN $35,000
US Bancorp Investments, Inc. U.S. Bancorp financial services 2010 FINRA $275,000
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
US Business Brokers, Inc.   2015 IL-SEC $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Mega Corporation et al.   2006 MD-SEC $195,000
US Petroleum LLC   2003 ND-SEC $14,000
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
USAllianz Securities   2006 FINRA $5,000,000
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
Used Apple Store   2016 NH-BSR $5,713
USI-Tech Limited   2020 SC-SEC $50,000
UVEST Financial Services Group, Inc. LPL Financial financial services 2013 MULTI-FIN $750,000
V Wealth Advisers, LLC   2020 MO-SEC $7,500
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Valentine Capital Asset Management, Inc.?   2010 SEC $432,007
VALIANT HEALTH CARE, INC.   2012 VA-SEC $92,528
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
VALIC Financial Advisors, Inc. American International Group financial services 2016 FINRA $1,750,000
Valkyrie, Inc.   2009 WA-FIN $10,000
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
Valor Capital Asset Management, LLC   2018 SEC $715,871
Value Line Inc.   2009 SEC $43,705,765
ValueAct   2016 DOJ_ANTITRUST $11,000,000
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.