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 Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Tejas Securities Group, Inc.   2005 FINRA $10,000
UBS International Inc. UBS financial services 2005 FINRA $10,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 FINRA $2,650,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $150,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $125,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
H.D. Vest Investment Services   2005 FINRA $4,015,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
Linsco/Private Ledger Corp.   2005 FINRA $3,602,398
Wells Fargo Investments, LLC Wells Fargo financial services 2005 FINRA $2,970,000
SunAmerica Securities, Inc. American International Group financial services 2005 FINRA $2,500,000
FSC Securities Corp.   2005 FINRA $2,400,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $2,400,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,700,000
McDonald Investments Inc.   2005 FINRA $1,500,000
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
Advantage Capital Corp.   2005 FINRA $450,000
Advest, Inc.   2005 FINRA $286,415
SunTrust Capital Markets, Inc. Truist Financial financial services 2005 FINRA $100,000
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Thomas Weisel Partners Stifel Financial financial services 2005 FINRA $1,750,000
Jefferson Pilot Variable Corporation Lincoln National financial services 2005 FINRA $688,697
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
American Express Financial Advisors Ameriprise Financial financial services 2005 FINRA $13,000,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Quick & Reilly, Inc.   2005 FINRA $570,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $275,000
Scottrade, Inc. Charles Schwab Corp. financial services 2005 FINRA $250,000
LH Ross   2005 FINRA $11,968,000
Yankee Financial Group, Inc.   2005 FINRA $3,800,000
Banc One Securities Corporation JPMorgan Chase financial services 2005 FINRA $400,000
E Net Speculation Ltd.   2004 CFTC $50,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Fimat International Banque SA   2004 CFTC $25,000
Refco Overseas Limited   2004 CFTC $25,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
United Energy, Inc.   2004 CFTC $20,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
International Financial Services (New York) LLC   2004 CFTC $100,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Olam International Limited Olam International agribusiness 2004 CFTC $20,000
Calpine Energy Services, L.P. Energy Capital Partners private equity (including portfolio companies) 2004 CFTC $1,500,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
PanaMed Corp.   2004 SEC $5,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
First Command Financial Planning, Inc.   2004 SEC $12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
Fremont Investment Advisors   2004 SEC $4,146,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco financial services 2004 SEC $325,000,000
RS Investment Management L.P.   2004 SEC $25,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
Bridgeway Capital Management   2004 SEC $5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
National Institute Companies of America, Inc.   2004 SEC $1,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
ACI Inc.   2004 SEC $7,756,750
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
Needham & Company, Inc.   2004 SEC $700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Inviva Inc.   2004 SEC $5,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Franklin Advisers, Inc. Franklin Resources financial services 2004 SEC $50,000,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Performance Specialist Group LLC   2004 SEC $2,171,932
SIG Specialists, Inc.   2004 SEC $3,033,589
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
LNB Bancorp, Inc.   2004 SEC $100,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
CDH & Affiliates, Inc.   2004 SEC $4,317,616
Security Trust Company, N.A.   2004 SEC $1,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Fleet Specialist, Inc.   2004 SEC $59,097,469
LaBranche & Co., LLC   2004 SEC $63,518,760
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
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.