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
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 2016 FINRA $4,550,000
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
VSR Financial Services, Inc.   2016 FINRA $400,000
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 Capital Markets, LLC Wells Fargo financial services 2007 FINRA $300,000
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 Wells Fargo financial services 2009 FINRA $4,500,000
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 2007 FINRA $2,000,000
Wachovia Securities LLC Wells Fargo financial services 2004 FINRA $650,000
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 Wells Fargo financial services 2009 FINRA $1,400,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services 2009 FINRA $1,100,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo financial services 2010 CT-SEC $75,000
Wachovia Securities, LLC. Wells Fargo financial services 2004 FINRA $39,486
Waddell & Reed Inc. Macquarie financial services 2008 OK-SEC $10,000
Waddell & Reed, Inc. Macquarie financial services 2006 SEC $50,000,000
Waddell & Reed, Inc. Macquarie financial services 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Macquarie financial services 2003 FL-OFR $8,800
Waddell & Reed, Inc. Macquarie financial services 2006 MO-SEC $172,161
Waddell & Reed, Inc. Macquarie financial services 2005 MT-SEC $25,000
Waddell & Reed, Inc. Macquarie financial services 2016 NH-BSR $900,000
Waddell & Reed, Inc. Macquarie financial services 2005 MULTI-FIN $18,000,000
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
Wadsworth Investment Co., Inc.   2012 CT-SEC $77,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Walker Financial Advisors, Inc.   2013 CA-DFPI $27,600
Wall Private Wealth LLC   2017 PA-BKG $10,000
Wall Street Access   2006 SEC $688,084
Wall Street Capital Funding LLC   2011 SEC $300,000
Wall Street Financial Group Inc.   2013 PA-BKG $100,000
Wall Street Financial Group, Inc.   2001 FL-OFR $10,000
Wall Street Pirate Management, LLC   2017 CFTC $125,000
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Wall Street Underground, Inc.   2006 CFTC $9,500,000
WallStreet*E Financial Services, Inc.   2010 FL-OFR $162,500
Walsh Trading Inc.   2009 CFTC $50,000
Walton Financial, LLC   2017 CO-SEC $150,000
WaMu Investments, Inc.   2008 FINRA $250,000
War Chest Capital Partners   2013 SEC $327,569
War Chest Capital Partners LLC   2015 SEC $351,818
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Warner Financial Group Inc.   2013 TX-SEC $5,000
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
Warren Exploration, LLC   2007 AZ-SEC $122,000
Warrior Fund LLC   2010 SEC $221,384
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
Washington Wealth Management, LLC   2016 SEC $50,000
Waste Management, Inc. Waste Management Inc. waste management and environmental services 2001 CT-AG $457,000,000
Water Island Capital LLC   2015 SEC $50,000
Watkins Development, LLC   2014 MS-SEC $680,131
Wattenberg 1 LLC et al.   2021 AZ-SEC $488,880
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
WBI Investments Inc.   2020 SEC $750,000
WCAS Management Corporation   2020 SEC $100,000
WCAS Management Corporation?   2018 SEC $778,819
WCM Financial Services and Equity Options, Inc.   2013 OR-FIN $30,000
WCM Global Wealth, LLC   2015 CA-DFPI $5,000
WCM Investment Management   2005 IL-SEC $12,500
WCO Holdings, LLC   2021 MO-SEC $100,000
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.