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)
Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
BNY Brokerage, Inc.   2004 FINRA $12,000
Carlin Equities Corporation   2004 FINRA $35,000
Delta Asset Management Company, L.L.C.   2004 FINRA $15,000
Doyle, Miles & Co., L.L.C.   2004 FINRA $12,500
FutureTrade Securities, L.L.C   2004 FINRA $35,000
Index Securities, LLC   2004 FINRA $11,000
Mid-Atlantic Capital Corporation   2004 FINRA $10,000
Options Trading Associates, LLC   2004 FINRA $10,000
Pulse Trading, Inc.   2004 FINRA $20,000
Quantlab Securities, L.P.   2004 FINRA $12,500
Transcend Capital, LP   2004 FINRA $10,000
National Securities Corp.   2004 FINRA $600,000
Miller Tabak Roberts Securities, LLC   2004 FINRA $5,000,000
First Trust Portfolios L.P   2004 FINRA $118,680
D.A. Davidson & Co.   2004 FINRA $150,000
National Planning Corp.   2004 FINRA $100,000
SII Investments, Inc.   2004 FINRA $100,000
Davenport & Co. LLC   2004 FINRA $738,000
Nationwide Investment Services Corporation   2004 FINRA $175,000
David Lerner Assoc.   2004 FINRA $100,000
Ameritrade, Inc.   2004 FINRA $10,000,000
Cresap, Inc.   2004 FINRA $99,458
SWS Financial Services   2004 FINRA $66,468
Kirkpatrick, Pettis, Smith, Polian Inc.   2004 FINRA $39,935
David Lerner Associates, Inc.   2004 FINRA $32,711
Brecek & Young Advisors, Inc.   2004 FINRA $31,224
Worldco LLC   2004 FINRA $1,500,000
Metropolitan Investment Securities, Inc.   2003 FINRA $4,300,000
Wells Investment Securities, Inc.   2003 FINRA $150,000
Altegris Investments, Inc.   2003 FINRA $175,000
Fiero Brothers, Inc.   2002 FINRA $1,000,000
Sterling Financial Investment Group   2002 FINRA $40,000
Swift Trade Securities USA, Inc.   2002 FINRA $101,000
Hornblower & Weeks, Inc.   2002 FINRA $100,000
M.H. Meyerson, & Co., Inc.   2002 FINRA $75,000
Tower Square Securities   2002 FINRA $4,500,000
Worldco, LLC   2002 FINRA $175,000
Mutual Service Corporation, Inc.   2001 FINRA $35,000
National Financial Services, L.L.C.   2001 FINRA $30,000
Windsor Capital Advisors, Inc.   2001 FINRA $20,000
Pershing Trading Company, L.P.   2001 FINRA $20,000
Gerard Klauer Mattison & Co., Inc.   2001 FINRA $10,000
Ko Securities, Inc.   2001 FINRA $162,450
Fleet Securities, Inc.   2001 FINRA $50,000
NDB Capital Markets LP   2001 FINRA $250,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $18,000
Access Securities, Inc.   2001 FINRA $14,000
Aegis Capital Corp.   2001 FINRA $19,000
Dalton Kent Securities Group, Inc.   2001 FINRA $25,000
Ramius Securities L.L.C.   2001 FINRA $61,000
Torrey Pines Securities, Inc.   2001 FINRA $14,000
NDB Capital Markets, LP   2001 FINRA $75,000
Fleet Securities, Inc.   2001 FINRA $40,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $40,000
ING Barings LLC   2001 FINRA $20,000
Penson Financial Services, Inc.   2001 FINRA $15,000
Ramius Securities LLC   2001 FINRA $10,000
All-Tech Direct, Inc.   2001 FINRA $250,000
Momentum Securities, LLC   2001 FINRA $75,000
CyBerBroker, Inc.   2001 FINRA $20,000
Cornerstone Securities Corporation   2001 FINRA $35,000
Summit Trading, Inc.   2001 FINRA $20,000
Banc One Capital Markets, Inc.   2001 FINRA $1,800,000
Allmerica Investments, Inc.   2001 FINRA $15,000
Lutheran Brotherhood Securities Corp.   2001 FINRA $25,000
Datek Online Brokerage Services, LLC   2001 FINRA $30,000
Providential Securities, Inc.   2000 FINRA $115,000
Asensio & Company, Inc.   2000 FINRA $75,000
R.D. White & Co., Inc.   2000 FINRA $500,000
WMA Securities, Inc.   2000 FINRA $125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
First Chicago Capital Markets, Inc.   2000 FINRA $4,420,000
Peacock, Hislop, Staley & Given, Inc.   2000 FINRA $539,117
Scott & Stringfellow, Inc.   2000 FINRA $393,263
Botta Trading, LLC   2000 FINRA $75,000
Wheat First Securities Inc.   2000 FINRA $7,730,000
J.C. Bradford & Co.   2000 FINRA $536,000
1-800DAYTRADE.COM, Inc.   2000 FINRA $25,000
Donnelly & Co., Inc.   2000 FINRA $17,500
LaSalle St. Securities, L.L.C.   2000 FINRA $13,000
Addison Securities, Inc.   2000 FINRA $37,500
Choice Investments, Inc.   2000 FINRA $27,000
Meroe Capital Group Ltd et al.   2021 AZ-SEC $992,980
The Joseph Project   2021 AZ-SEC $9,210,000
Arizona Acquisitions Group LLC   2021 AZ-SEC $505,900
Ecovista Development LLC and Ecovista Avondale LLC   2021 AZ-SEC $10,000
Wattenberg 1 LLC et al.   2021 AZ-SEC $488,880
Verdugo Gift Company   2021 AZ-SEC $6,988,143
Insurance Trends, Inc.   2020 CT-SEC $100,000
Financial Vision Advisory Services, LLC   2020 CT-SEC $5,375
The Hansbury Group, LLC   2020 CT-SEC $5,000
Quint Wealth Management, Inc.   2020 CT-SEC $5,000
Solace Investments, LLC   2020 CT-SEC $300,000
Wilmington Capital Securities, LLC   2020 CT-SEC $11,275
All-Star Staffing, LLC   2021 ID-SEC $51,210
Region Home Buyers, LLC   2021 IN-SEC $5,000
Skytec Security Midwest LLC and Skytec Security Operations LLC   2021 MO-SEC $488,669
Joseph Stone Capital, LLC   2021 NH-BSR $305,000
FCG Advisors, LLC   2021 NJ-AG $250,000
MS Chamberlain Partners, Inc. et al.   2021 NJ-BOS $5,000
StratagemEq, Inc.   2021 NJ-BOS $110,000
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.