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)
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Wall Street Access   2006 SEC $688,084
Cantella & Company, Inc.   2006 SEC $50,000
Dunham & Associates Investment Counsel, Inc.   2006 SEC $150,000
Delaware Service Company, Inc.   2006 SEC $435,000
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
IFMG Securities, Inc.   2006 SEC $1,000,000
Weiss Research, Inc   2006 SEC $1,991,141
CapitalWorks Investment Partners, LLC   2006 SEC $40,000
Hutchens Investment Management, Inc.?   2006 SEC $40,000
Computershare Trust Company of Canada   2006 SEC $1,101,868
INET ATS, Inc.   2006 SEC $350,000
Schultz Investment Advisors, Inc.   2005 SEC $114,534
Renn Capital Group, Inc.   2005 SEC $2,961,362
Blue River Capital LLC   2005 SEC $150,000
Instinet, LLC and INET ATS, Inc.   2005 SEC $700,000
International Equity Advisors, LLC   2005 SEC $3,190,000
Applied Financial Group Inc.   2005 SEC $50,000
Springer Investment Management, Inc.?   2005 SEC $50,000
CMS Fund Advisers, Inc.   2005 SEC $115,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc   2005 SEC $40,000
Marketxt, Inc.   2005 SEC $49,965
vFinance Investments, Inc.   2005 SEC $50,000
Capital Analysts Incorporated   2005 SEC $450,000
Colley Asset Management, Inc.   2005 SEC $100,000
Brean Murray & Co., Inc.   2005 SEC $150,000
Groh Asset Management, Inc.   2004 SEC $45,000
Kiely Financial Services, Inc.   2004 SEC $154,256
Rudney Associates, Inc.   2004 SEC $62,330
Taglich Brothers, Inc.   2004 SEC $50,000
JC Management, Inc.   2004 SEC $27,991
Connecticut Capital Markets, L.L.C.   2004 SEC $259,110
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
Fidelity National Capital Investors, Inc.   2004 SEC $125,000
Freedom Financial, Inc.   2004 SEC $25,000
David Lerner Associates, Inc.   2004 SEC $50,000
Nevis Capital Management, LLC   2004 SEC $1,700,000
Hard Asset Management, Inc.   2004 SEC $62,439
Celebrity Resorts and Casinos, Inc.   2004 SEC $347,250
Research Investment Group, Inc.   2004 SEC $24,721
FT Interactive Data   2003 SEC $125,000
Research Capital, LLC   2003 SEC $6,337
EquityAlert.com, Inc. and Innotech Corporation   2003 SEC $31,555
Mid-Ohio Securities Corp.   2003 SEC $25,000
Andover Brokerage, LLC   2003 SEC $151,876
Ascend Capital, LLC   2003 SEC $46,258
Jamison, Eaton & Wood, Inc.   2003 SEC $100,000
Baron Capital, Inc.   2003 SEC $2,000,000
Harvest Financial Corporation   2003 SEC $25,000
Gemisys Corporation   2002 SEC $15,000
Millenium Capital Advisors of Pennsylvania, Inc   2002 SEC $50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC   2002 SEC $175,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Renberg Capital Management, Inc.   2002 SEC $40,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
Portfolio Advisory Services, LLC   2002 SEC $50,000
Performance Analytics, Inc.   2002 SEC $75,000
Lone Star Transfer, Inc.   2002 SEC $10,000
ND Money Management, Inc.   2002 SEC $10,000
RansonCapital Corporation   2002 SEC $10,000
Roundhill Securities, Inc.   2002 SEC $100,000
Stan D. Kiefer & Associates   2002 SEC $10,000
Delta Equity Services Corporation   2002 SEC $45,000
Pryor, McClendon, Counts & Co., Inc.   2002 SEC $40,000
BNB Capital, Inc.   2002 SEC $5,000
Merrimac Advisors Company   2002 SEC $50,000
Millennium Group of New York, LLC   2001 SEC $7,602
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
W.J. Nolan & Co.   2001 SEC $192,028
Oechsle International Advisors L.L.C.   2001 SEC $200,000
Hawthorne Associates, Inc.   2001 SEC $25,000
Sage Advisory Services LLC   2001 SEC $288,328
JPR Capital Corp.   2001 SEC $55,000
United Stock Transfer Inc.   2001 SEC $10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc.   2001 SEC $400,000
Joel R. Mogy Investment Counsel, Inc.?   2001 SEC $12,500
Business & Financial Advisors, Inc.   2001 SEC $128,817
Marion Bass Securities Corp.   2000 SEC $150,000
Focus Tech Investments, Inc.   2000 SEC $10,000
Adar International   2000 SEC $10,000
Longman & Associates, Inc.   2000 SEC $10,000
Kading Companies, S.A. and Joning Corp.   2000 SEC $10,000
National Stock Transfer Inc.   2000 SEC $5,000
CGI Capital, Inc.   2000 SEC $25,000
D.E. Frey and Company, Inc.   2000 SEC $100,000
Prospera Financial Services, Inc.   2000 SEC $40,000
Signal Securities Inc.   2000 SEC $50,000
First Colonial Securities Group, Inc.   2000 SEC $25,000
F.W. Thompson Company Ltd.   2000 SEC $100,000
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Dawson-Samberg Capital Management, Inc.   2000 SEC $100,000
Owen-Joseph Asset Management Corp.?   2000 SEC $68,000
Founders Asset Management LLC   2000 SEC $50,000
Gold Asset Management, Inc.   2000 SEC $20,000
WWW Advisors, Inc.   2000 SEC $5,000
Asset Timing Corp.   2000 SEC $5,000
Investment Street Company and Dynamic Trading of Miami, Inc.   2000 SEC $25,000
1pool Ltd.   2019 CFTC $421,000
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
The Tulving Company, Inc.   2019 CFTC $15,761,432
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.