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
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 Financial Securities Corporation   2021 SEC $249,455
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
USAllianz Securities Allianz financial services 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
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
Valuepoint Partners, Inc.   2012 MO-SEC $5,000
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
Van On State, LLC   2005 MD-SEC $15,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
Vandham Securities Corp.   2019 SEC $200,000
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Vasari Energy Inc.   2017 PA-BKG $7,500
Vasilios Community Development Corporation   2016 VA-SEC $250,000
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
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
Verdugo Gift Company   2021 AZ-SEC $6,988,143
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
Verus Capital Partners, LLC   2021 SEC $45,000
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
vFinance Investments, Inc.   2009 FINRA $27,500
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
VII Peaks Capital, LLC   2021 SEC $1,030,699
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
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.