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
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
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
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
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
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-FIN (*) $150,000,000
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 PaineWebber, Inc. UBS financial services 2003 SEC $500,000
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
UBS Global Asset Management UBS financial services 2012 SEC $300,000
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
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 2013 MULTI-AG $4,580,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2012 SEC $26,600,000
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
UBS Financial Services Inc. UBS financial services 2015 SEC $480,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
UBS Financial Services Inc. UBS financial services 2006 NJ-AG $24,750,000
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS financial services 2012 NH-BSR $72,500
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS financial services 2014 VT-FIN $325,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
UBS Financial Services UBS financial services 2014 SEC $56,400
UBS Financial Services UBS financial services 2016 SEC $15,025,882
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
UBS AG UBS financial services 2015 SEC $19,500,000
UBS AG UBS financial services 2010 CFTC $130,000
UBS AG UBS financial services 2018 CFTC $15,000,000
UBS UBS financial services 2010 MI-AG $117,000,000
UASNM, Inc.   2014 SEC $100,000
UAB Mid West Group   2020 WI-FIN $250,000
U.S. Wind Farming, Inc.   2006 SEC $38,487
U.S. Securities Intl. Corp.   2002 OR-FIN $10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services 2010 SEC $112,600,000
U.S. Media Team, LLC and Cell Wireless Corp.   2013 AZ-SEC $139,000
U.S. Media Team, LLC   2011 AZ-SEC $116,260
U.S. Investors Group, Inc.   2002 FL-OFR $10,000
U.S. Gas & Electric, Inc.   2006 SEC $167,000
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.