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)
Company Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
First Nevada Marketing, Inc.   2007 MO-SEC $12,165
Broadview Asset Management, LLC   2007 MO-SEC $5,500
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
Capital Funding Management, Inc.   2007 MO-SEC $10,165
Key West Investment Group, LLC and Key West Property & Devolopment, Inc.   2007 MO-SEC $103,400
Planet EV's Inc.   2007 MO-SEC $40,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2007 MS-SEC $12,500
MDM Energy   2007 MT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
Wachovia Securities LLC Wells Fargo financial services 2007 ND-SEC $75,000
LAS International Ltd.   2007 ND-SEC $10,400
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 NE-DBF $5,000
CCO Investment Services Corp.   2007 NH-BSR $375,000
Smith Barney Morgan Stanley financial services 2007 NJ-BOS $5,000,000
Spelman & Co. Inc.   2007 OK-SEC $15,000
Corporate Executives Inc.   2007 OR-FIN $100,000
Redwood Trust   2007 OR-FIN $23,000
Bountiful LLC   2007 OR-FIN $23,000
Ultimate Ventures Inc.   2007 OR-FIN $60,000
Pond Equities Corp.   2007 RI-FIN $14,960
Lincoln Financial Advisors Corp. Lincoln National financial services 2007 RI-FIN $5,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2007 RI-FIN $250,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
Hattier, Sanford & Reynoir LLP   2007 TN-SEC $25,000
Ameritrade Inc.   2007 TX-SEC $200,000
Miller Equity Capital Advisors   2007 TX-SEC $6,000
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Windward Partners LLC   2007 TX-SEC $10,000
First Western Securities Inc.   2007 TX-SEC $8,000
Legacy Harbor   2007 TX-SEC $9,000
M&W Financial Inc.   2007 TX-SEC $65,000
Gamboa Capital Management Inc.   2007 TX-SEC $5,000
COMTEL, INC.   2007 VA-SEC $10,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
CORNERSTONE MINISTRIES   2007 VA-SEC $5,000
COMMONWEALTH CHURCH FINANCE INC.   2007 VA-SEC $78,000
REBEL HOLIDAY   2007 VA-SEC $110,000
FASHION TECHNOLOGY VENTURES   2007 VA-SEC $125,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
REGAL NAILS, LLC   2007 VA-SEC $21,000
FIRST GEORGETOWN SECURITIES INC.   2007 VA-SEC $22,500
THEODORE J. HOGAN & ASSOCIATES   2007 VA-SEC $53,117
Chum Chum Game Company   2007 WA-FIN $5,000
Pine Canyon Enterprises, Inc.   2007 WA-FIN $10,000
Chesterfield Mortgage Investors, Inc.   2007 WA-FIN $5,000
Great Plains Financial, LLC   2007 WA-FIN $5,000
MCube Petroleum, Inc. et al.   2007 WA-FIN $147,505
Berkshire Resources LLC and Berkshire (4OL) LLP   2007 WA-FIN $9,000
Northwest Financial Group   2007 WA-FIN $13,950
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 WA-FIN $669,500
Beacon Development Group   2007 WA-FIN $35,000
The Prudential Investment Portfolios, Inc.   2007 WI-FIN $5,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2007 WI-FIN $50,000
Wachovia Capital Markets LLC Wells Fargo financial services 2007 MULTI-FIN $24,650,000
INH-Interholding SA   2008 CFTC $6,075,841
Innovative Capital Management, LLC   2008 CFTC $1,350,000
Linuxor Asset Management LLC   2008 CFTC $200,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Alliance Development Company   2008 CFTC $2,200,000
The Liberty Mutual Group, Inc., Addison Financial Group, Inc., Addison Management Group, Inc., Hamlin Mercer Group, Inc., and Colfax Management Group, Inc.   2008 CFTC $12,000,000
Aurifex Commodities Research Company   2008 CFTC $150,000
4NExchange   2008 CFTC $480,000
Mansur Capital Corporation   2008 CFTC $75,000
Persistent Edge Management, LLC   2008 CFTC $120,000
Stillwater Capital Partners, Inc. and Stillwater Capital Partners, LLC   2008 CFTC $135,000
Foreign Fund (a/k/a First Bank)   2008 CFTC $2,432,486
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Rosenthal Collins Group, LLC   2008 CFTC $310,000
Philadelphia Alternative Asset Management Co.   2008 CFTC $8,800,000
First Lexington Group   2008 CFTC $2,466,063
Alaron Trading Corporation   2008 CFTC $299,000
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
Forefront Investment Corporation   2008 CFTC $260,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Executive Commodity Corp.   2008 CFTC $23,910,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
Supama International DMCC   2008 CFTC $164,680
ESL Partners, L.P.   2008 FTC $525,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
Lazard Capital Markets LLC   2008 SEC $2,847,008
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
H&M Petroleum Corporation and American Energy Resources Corporation   2008 SEC $510,000
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd.   2008 SEC $41,774,923
Quogue Capital LLC   2008 SEC $390,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
FacePrint Global Solutions, Inc.   2008 SEC $1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC   2008 SEC $39,900,000
AirTrac Inc.   2008 SEC $2,005,401
Lazare Industries, Inc.   2008 SEC $1,975,911
Milkie/Ferguson Investments, Inc.   2008 SEC $25,000
MedCap Management & Research LLC   2008 SEC $70,632
Victoire Finance Capital LLC   2008 SEC $215,631
Sirios Capital Management, L.P.?   2008 SEC $287,058
Moon Capital Management, LP?   2008 SEC $139,071
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.