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
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Winning Mortgages, LLC   2007 MD-SEC $20,000
Winning Kids Inc.   2010 SEC $2,183,964
WINGS TO GO, INC.   2018 VA-SEC $7,500
Winell Associates, Inc. and Maxie Partners GP, LLC   2011 CFTC $5,200,000
Windward Partners LLC   2007 TX-SEC $10,000
Windsor Street Capital, LP   2018 NH-BSR $5,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $200,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Windsor Brokers, Ltd.   2012 CFTC $140,000
Windsor Asset Management   2004 MD-SEC $48,919
Window World, Inc.   2013 IN-SEC $9,000
WINDOW WORLD, INC.   2012 VA-SEC $8,000
Wilson-Davis & Company, Inc.   2017 SEC $310,713
Wilson-Davis & Co., Inc.   2019 SEC $300,000
Wilson Advisory Group   2013 CO-SEC $56,000
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Wilshire-Pennington Group Inc.   2018 OK-SEC $25,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
Wilmington Savings Fund Society, FSB   2016 SEC $375,000
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Willis Lease Finance Corporation   2014 SEC $150,000
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Williamson Poultry Farms, Inc.   2002 MS-SEC $5,000
Williams Advisory Group, LLC   2018 CFTC $19,450,034
William R. Hough & Co.   2000 SEC $3,264,000
William R. Evans Chartered   2002 AZ-SEC $5,000
William Blair & Company, L.L.C.   2017 SEC $4,500,000
William Blair & Co., L.L.C.   2015 SEC $80,000
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Why Not Entertainment, L.L.C.   2001 AZ-SEC $137,500
Whoistrustee.com Limited dba Binaryoptionrobot.com   2017 MO-SEC $104,100
Whitebox Advisors   2014 SEC $1,202,924
White Cedar Group, LLC   2014 NJ-BOS $2,000,000
White Birch Brewing LLC   2020 NH-BSR $5,000
Whitcraft Capital Management, Inc.   2006 CA-DFPI $45,000
Whispering Winds Properties, L.L.C et al.   2009 AZ-SEC $16,633,570
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
WFG Investments Inc.   2015 TX-SEC $175,000
WFG Advisors, L.P.   2016 SEC $100,000
WFB Management Group, LLC   2017 MO-SEC $150,000
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc.   2018 WA-FIN $250,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Westrock Advisors, Inc.   2011 CT-SEC $250,000
Westpark Capital, Inc.   2017 MO-SEC $18,000
WestPark Capital   2014 NJ-AG $30,000
Westoby Works   2005 AK-DBS $75,000
Westminster Securities Corporation   2000 TN-SEC $10,000
Westminster Holdings Ltd et al.   2002 OR-FIN $15,000
Westlands Water District   2016 SEC $125,000
Westfort Energy Ltd.   2006 TN-SEC $108,773
Western Standard   2013 SEC $111,807
Western Realty Investments LLC   2014 NH-BSR $6,750
Western Pacific Capital Management, LLC   2012 SEC $781,940
Western Growers Financial Services, Inc.   2006 IL-SEC $5,250
Western Gateway Region Rural Broadband Company, Inc   2020 AZ-SEC $15,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
Western Asset Management Company Franklin Resources financial services 2014 SEC $19,400,000
Western Asset Management Co. Franklin Resources financial services 2001 SEC $50,000
Westend Capital Management, LLC   2014 SEC $150,000
Westcap Energy, Inc. dba Westcap Solar   2013 AZ-SEC $10,000
West Coast Asset Management, Inc.   2013 SEC $56,186
Wesleyan Investment Foundation, Inc.   2018 AZ-SEC $25,000
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Wesleyan Investment Foundation, Inc.   2019 KY-FIN $11,250
Wesleyan Investment Foundation, Inc.   2018 MI-SEC $20,000
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
Wesleyan Investment Foundation Inc.   2018 PA-BKG $50,000
Wesleyan Investment Foundation Inc.   2018 SD-INS $10,000
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
Wesleyan Investment Foundation   2021 WA-SEC $11,500
Wesleyan Investment   2018 AR-SEC $10,000
Wesley Capital Management, LLC   2012 SEC $232,289
Wells Nelson & Associates, LLC   2015 SEC $100,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wells Fargo Investments, LLC Wells Fargo financial services 2009 MULTI-FIN $1,900,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
Wells Fargo Clearing Services, LLC Wells Fargo financial services 2019 MA-SEC $450,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo Bank, N.A. Wells Fargo financial services 2019 CFTC $14,475,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2017 IL-SEC $270,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2010 IN-SEC $8,495
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Wells Fargo Advisors LLC Wells Fargo financial services 2012 MD-SEC $50,000
Wells Fargo Advisors LLC Wells Fargo financial services 2016 VT-FIN $300,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2016 NH-BSR $35,000
WELLS FARGO ADVISORS Wells Fargo financial services 2015 VA-SEC $205,000
Wells Fargo & Company Wells Fargo financial services 2018 NY-AG $65,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 MD-AG $20,000,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
Wellington Sports Club, LLC   2019 MS-SEC $61,270
Wellington Sports Club LLC et al.   2018 OR-FIN $35,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
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.