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
Vericorp, Inc.   2012 CA-DFPI $8,200,000
Vereit, Inc. Vereit Inc. real estate 2020 SEC $8,000,000
Verdugo Gift Company   2021 AZ-SEC $6,988,143
Veravest Investments, Inc.   2003 FL-OFR $5,000
Veras Investment Partners, LLC   2005 CFTC $500,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Venulum Ltd.   2013 SC-SEC $5,500
Venture Capital Investments LLC   2020 CFTC $900,604
Venture Capital Holdings LLC   2006 SEC $4,808,953
Velocity Futures, LLC   2013 CFTC $300,000
Velocity Futures, LLC   2011 CFTC $180,000
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
VCAP Securities   2015 SEC $1,477,332
VC Direct Solutions   2013 ME-SEC $8,000
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
Vasilios Community Development Corporation   2016 VA-SEC $250,000
Vasari Energy Inc.   2017 PA-BKG $7,500
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Vandham Securities Corp.   2019 SEC $200,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Van On State, LLC   2005 MD-SEC $15,000
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
Valuepoint Partners, Inc.   2012 MO-SEC $5,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct   2016 DOJ_ANTITRUST $11,000,000
Value Line Inc.   2009 SEC $43,705,765
Valor Capital Asset Management, LLC   2018 SEC $715,871
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
Valkyrie, Inc.   2009 WA-FIN $10,000
VALIC Financial Advisors, Inc. American International Group financial services 2016 FINRA $1,750,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
VALIANT HEALTH CARE, INC.   2012 VA-SEC $92,528
Valentine Capital Asset Management, Inc.?   2010 SEC $432,007
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
V Wealth Advisers, LLC   2020 MO-SEC $7,500
UVEST Financial Services Group, Inc. LPL Financial financial services 2013 MULTI-FIN $750,000
USI-Tech Limited   2020 SC-SEC $50,000
Used Apple Store   2016 NH-BSR $5,713
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
USAllianz Securities   2006 FINRA $5,000,000
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
US Petroleum LLC   2003 ND-SEC $14,000
US Mega Corporation et al.   2006 MD-SEC $195,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Business Brokers, Inc.   2015 IL-SEC $15,000
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
US Bancorp Investments, Inc. U.S. Bancorp financial services 2010 FINRA $275,000
Urban Traffic   2019 WA-FIN $35,000
URBAN BAR-B-QUE COMPANY   2014 VA-SEC $5,000
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Upstream Solutions, LLC   2015 WA-FIN $18,000
Upstream Energy Services LLC   2019 CFTC $75,000
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Unlimited Cash, Inc. and Douglas Network Enterprises   2007 IL-SEC $75,000
Unlimited Cash Inc.   2006 OR-FIN $100,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
Universal Stock Transfer, Ltd.   2017 MT-SEC $56,852
Universal FX Incorporated   2005 AZ-SEC $5,000
Universal Financial Group   2005 MD-SEC $150,000
Universal Electronics Inc. Universal Electronics Inc. electrical and electronic equipment 2014 SEC $75,000
Unity Oil & Gas   2018 MO-SEC $42,135
Unity Financial, LLC   2004 AZ-SEC $1,642,564
United Stock Transfer Inc.   2001 SEC $10,000
United Securities Alliance, Inc.   2002 FL-OFR $10,000
United Private Capital, Inc.   2015 IL-SEC $15,000
United Planners' Financial Services of America, A Limited Partnership   2001 AZ-SEC $79,000
United Planners' Financial Services of America   2019 MA-SEC $100,000
United Industrial Corporation   2009 SEC $337,679
United Gold Direct, LLC   2020 CA-DFPI $45,112
United Global Securities, Inc.   2009 SEC $25,000
United Fidelity Funding Corp.   2010 AR-SEC $12,500
United Energy, Inc.   2004 CFTC $20,000
United Bankers' Bank   2016 SEC $160,000
United American Ventures, LLC   2012 SEC $9,079,372
Unikrn Inc.   2020 SEC $6,100,000
Unikrn Inc.   2020 WA-SEC $310,000
Unified Fund Services, Inc.   2006 SEC $125,000
Uni-Pixel Inc.   2016 SEC $750,000
Under Armour Inc. Under Armour apparel 2021 SEC $9,000,000
Umbrella Research, LLC   2017 SEC $16,676
UMB Financial Services, Inc.   2008 MO-SEC $43,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
Ulysses Partners, LLC   2014 CT-SEC $25,000
Ultra Global International, Inc.   2016 MO-SEC $200,000
Ultimate Ventures, Inc.   2005 ID-SEC $2,771,378
Ultimate Ventures Inc.   2007 OR-FIN $60,000
Ultimate Business Solutions, LLC   2015 MO-SEC $18,500
UCI Wealth Advisors LLC   2016 ID-SEC $19,700
UBS Willow Management LLC and UBS Fund Advisor LLC UBS financial services 2015 SEC $17,500,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
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.