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 Industry Yearsort icon Agency Penalty Amount
Prospera Financial Services Inc.   2006 TX-SEC $5,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
EARTHWALK COMMUNICATIONS, INC.   2006 VA-SEC $60,000
NATIONAL TENANT NETWORK, INC.   2006 VA-SEC $5,500
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TRANSCOMMUNITY FINANCIAL CORP.   2006 VA-SEC $58,900
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
CLARKE ENERGY GROUP INC.   2006 VA-SEC $116,000
CAC Capital Corporation   2006 VA-SEC $15,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
North American Resource Group, Inc.   2006 WA-FIN $38,175
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Austin & Associates   2006 WA-FIN $30,000
LionHearted Entertainment, Inc.   2006 WA-FIN $15,000
Family First Advanced Estate Planning and Family First Insurance Services   2006 WA-FIN $50,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
USAllianz Securities   2006 FINRA $5,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
EKN Financial Services Inc.   2006 FINRA $200,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $16,300,000
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
American Funds Distributors Inc.   2006 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
ING America Insurance Holdings Inc. Voya Financial financial services 2006 FINRA $7,000,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 FINRA $350,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2006 FINRA $225,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2006 FINRA $200,000
Trillium Trading LLC   2006 FINRA $225,000
Schonfeld & Company LLC   2006 FINRA $175,000
LaSalle Street Securities, Inc.   2006 FINRA $200,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 FINRA $5,000,000
David Lerner Associates, Inc.   2006 FINRA $400,000
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
Berean Capital Incorporated   2006 FINRA $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $250,000
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
Commercial Hedge Services, Inc.   2007 CFTC $325,000
FxTrade Financial, LLC   2007 CFTC $3,466,000
Millenium Trading Group, LLC   2007 CFTC $3,861,516
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
International Currency Exchange, Inc.   2007 CFTC $1,650,000
Banque CIAL   2007 CFTC $80,000
Longboat Global Funds Management   2007 CFTC $10,317,183
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, American Futures and Options Exchange, Metro Financials, and American Futures and Options Trading C   2007 CFTC $15,524,957
Interactive Brokers LLC Interactive Brokers Group financial services 2007 CFTC $175,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation   2007 CFTC $16,403,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   2007 CFTC $21,819,785
Man Financial Inc.   2007 CFTC $316,900
Premium Income Corp.   2007 CFTC $123,000,000
Acceleration Capital, LLC   2007 CFTC $218,000
Falco & Stevens, Inc.   2007 CFTC $4,724,607
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
Iconix Brand Group Iconix Brand Group apparel 2007 DOJ_ANTITRUST $550,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Microphase Corp.   2007 SEC $700,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) financial services 2007 SEC $50,000,000
Regional Brokers, Inc.   2007 SEC $100,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Commonwealth Equity Services, LLP   2007 SEC $250,000
Detwiler, Mitchell, Fenton & Graves, Inc.   2007 SEC $250,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Platforms Wireless International Corp.   2007 SEC $2,431,213
GLG Partners, L.P.   2007 SEC $3,203,639
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
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.