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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,226,569,211
Number of Penalty Records: 
5,266
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$13,367,992,14173
UBS$11,608,479,90945
Citigroup$8,090,974,62832
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,110,71283
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,688,695,98724
Wells Fargo$2,404,990,13051
American International Group$1,579,000,0004
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.
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Company Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Peregrine Financial Group, Inc.   2000 CFTC $90,000
Farmers Cooperative Company   2000 CFTC $100,000
Sogemin Metals Inc.   2000 CFTC $500,000
First Options of Chicago, Inc.   2000 CFTC $163,000
Yes Entertainment, LLC   2000 SEC $14,546,808
First Paragon, Inc.   2000 SEC $1,040,000
EquityAlert.com, Inc.   2000 SEC $20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust   2000 SEC $20,590,000
JW Charles Financial Services, Inc.   2000 SEC $20,000
Millennium Software Solutions, Inc.   2000 SEC $760,450
New Concepts, L.L.C.   2000 SEC $20,000
Liberty Capital Group, Inc.   2000 SEC $35,000
Assured International, Inc. and Sharp Financial Corp.   2000 SEC $1,407,217
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs financial services 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
William R. Hough & Co.   2000 SEC $3,264,000
Prime Atlantic, Inc.   2000 SEC $12,682,820
DynamicDaytrader.com   2000 SEC $55,107
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
First Union Securities, Inc. Wells Fargo financial services 2000 SEC $408,931
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
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Dawson-Samberg Capital Management, Inc.   2000 SEC $100,000
Fahnestock & Co., Inc. Oppenheimer Holdings financial services 2000 SEC $20,000
Janney Montgomery Scott LLC Penn Mutual financial services 2000 SEC $100,000
Owen-Joseph Asset Management Corp.?   2000 SEC $68,000
Founders Asset Management LLC   2000 SEC $50,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
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
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
World Interactive Gaming Corporation   2000 NY-AG $6,300,000
Truckville Inc. dba EZ Finance Auto Sales   2000 AZ-SEC $5,000
Forex Investment Services Corp. et al.   2000 AZ-SEC $416,086
American Express Financial Advisors Ameriprise Financial financial services 2000 AZ-SEC $125,000
Great Western Investment Trust, Ltd.   2000 AZ-SEC $435,789
National Financial Group and World Wide Business Opportunities, LLC   2000 AZ-SEC $20,000
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
Estate Services II, Inc.   2000 AZ-SEC $15,000
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
Alliance Trust and Chemical Trust and United Marketing Trust   2000 AZ-SEC $75,000
Tucson Estate Financial Advisors, Inc.   2000 AZ-SEC $114,080
Mining Ventures International, LLC   2000 AZ-SEC $253,500
Successful Finance, Inc.   2000 AZ-SEC $421,040
Eye International, L.L.C. and American International Beneficial Association, Inc.   2000 AZ-SEC $11,500
Buckson Realty Brokerage, Inc.   2000 DE-SEC $39,934
Condor and Eagle, Inc., Contact Generation, Inc. and TCI   2000 FL-OFR $5,000
Baggy Stuff, Inc.   2000 FL-OFR $325,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc.   2000 FL-OFR $12,000
First Financial Planners, Inc. et al.   2000 FL-OFR $39,232
The Morgan Group   2000 FL-OFR $15,000
Morgan Carlton Financial Corp.   2000 FL-OFR $15,000
Morgan Commercial Private Investment Bankers   2000 FL-OFR $15,000
Offshore Financial Facilitiators   2000 FL-OFR $69,900
First Capital Services, Inc.   2000 FL-OFR $30,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Southern 2000, Inc.   2000 FL-OFR $50,000
Allen Financial Group, Inc.   2000 FL-OFR $50,000
International Currency Management, LLC   2000 ID-SEC $175,000
LinkNet, Inc. fka INFOLINK, Inc.   2000 ID-SEC $10,000
FSC Securities Corp.   2000 MN-FIN $5,000
First Securities USA, Inc.   2000 MN-FIN $6,000
Linsco Private Ledger Corp.   2000 ND-SEC $25,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Laser Vision Technologies Inc.   2000 OR-FIN $5,000
The Sheffield Group   2000 OR-FIN $25,000
The Rhodes Company   2000 OR-FIN $7,500
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
Prosper Trust   2000 OR-FIN $5,000
High Tech Travel Services Corporation   2000 OR-FIN $25,000
San Clemente Securities   2000 OR-FIN $10,000
Terra Nova Trading LLC   2000 TN-SEC $7,500
Westminster Securities Corporation   2000 TN-SEC $10,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
Mountain States Capital Inc.   2000 TX-SEC $30,000
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
The Reserve Fund   2000 TX-SEC $150,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Supertrade Securities Inc.   2000 TX-SEC $15,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
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(*): 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.