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
JLR Group et al.   2008 MD-SEC $625,000
KH Funding Co.   2008 MD-SEC $15,000
Credit Solution and Financial Services, Inc.   2008 MD-SEC $25,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 MD-SEC $35,000
Telkonet, Inc. and Telkonet Communications, Inc.   2008 MD-SEC $25,000
Joe Karsner & Associates, LLC   2008 MD-SEC $50,000
Porta Office Cyber Cafe, LLC and Morgan Communications, Inc.   2008 MD-SEC $315,000
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
David J. Deschaine Installations, Inc.   2008 ME-SEC $75,000
Thomas G. Grace Advisors   2008 MN-FIN $5,000
S3, Inc.   2008 MN-FIN $6,000
Puritan Securities Inc.   2008 MN-FIN $12,000
R.A.M. Developments, LLC   2008 MO-SEC $25,000
Financial Solutions & Associates, Inc.   2008 MO-SEC $5,954
Cobble Creek Homes, LLC   2008 MO-SEC $42,200
Central Missouri Commodities, Inc.   2008 MO-SEC $65,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Andrew Garrett, Inc.   2008 MO-SEC $15,000
R.C. Transport, LLC   2008 MO-SEC $11,563
Guardian Financial Group, LLC   2008 MO-SEC $10,000
UMB Financial Services, Inc.   2008 MO-SEC $43,000
Commerce Brokerage Services, Inc.   2008 MO-SEC $525,000
New Century Investments, LLC   2008 MO-SEC $565,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 MS-SEC $150,000
Wisdom, Inc.   2008 MS-SEC $314,500
Brookstreet Securities Corp.   2008 MS-SEC $15,000
Rothschild Investment Corp.   2008 MT-SEC $5,000
Concord Equity Group Advisors   2008 MT-SEC $150,000
Mid-America Energy, Inc.   2008 MT-SEC $317,513
Ashmore Family Foundation   2008 ND-SEC $65,223
Rothschild Investment Corporation   2008 ND-SEC $15,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Raglin Industries LLC et al.   2008 OK-SEC $50,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. financial services 2008 OK-SEC $10,000
GunnAllen Financial Inc.   2008 OK-SEC $7,500
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
Yucatan Resorts dba Avalon Resorts   2008 OR-FIN $300,000
Resort Holdings International Inc.   2008 OR-FIN $300,000
World Phantasy Tours   2008 OR-FIN $300,000
Ruttenberg and Associates Financial Marketing Inc.   2008 OR-FIN $300,000
Alpha Energy Inc. and Alliance Resources Group Inc.   2008 OR-FIN $480,000
Gigapix Studios Inc.   2008 OR-FIN $5,000
Hannah Street Consulting Inc.   2008 RI-FIN $5,000
BTS Securities Corporation   2008 RI-FIN $15,694
Carolina Linkages Inc. dba Carolinks   2008 SC-SEC $100,000
International Wealth Management Inc.   2008 TX-SEC $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 TX-SEC $400,000
Select Asset Management LLC   2008 TX-SEC $7,500
EDI Financial Inc.   2008 TX-SEC $17,500
SWS Financial Services Inc.   2008 TX-SEC $35,000
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
IMS Securities Inc.   2008 TX-SEC $10,000
SMH Capital Inc.   2008 TX-SEC $30,000
LPL Financial Corporation LPL Financial financial services 2008 TX-SEC $5,000
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
C & D MANAGEMENT COMPANY   2008 VA-SEC $15,000
McKean County 3 Well, LLP,   2008 VA-SEC $10,000
L-O-T Development Wells, LLP   2008 VA-SEC $20,000
enTerra Seven, LLP   2008 VA-SEC $20,000
KAT-5-2, LLP   2008 VA-SEC $20,000
KAT-5, LLP   2008 VA-SEC $30,000
Great Oklahoma Oil Deal, LLP   2008 VA-SEC $50,000
Pennsylvania 3 Well Development, LLP   2008 VA-SEC $105,000
ENTERRA ENERGY, LLC   2008 VA-SEC $255,000
SAXBY'S COFFEE, INC.   2008 VA-SEC $14,000
BEYOND JUICE, INC.   2008 VA-SEC $150,000
H. BECK, INC.   2008 VA-SEC $60,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
FIRM GRIP BUSINESS MANAGEMENT   2008 VA-SEC $70,000
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
GREYSTONE CAPITAL   2008 VA-SEC $15,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers   2008 VA-SEC $10,000
CHANCELLORSVILLE FINANCING   2008 VA-SEC $140,000
DECKER EQUITIES, LP   2008 VA-SEC $205,000
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE   2008 VA-SEC $10,000
Peruvian Resources Management USA, LLC   2008 WA-FIN $39,791
James F. Reitan CFP LLC   2008 WA-FIN $5,000
Wortham Oil & Gas Enterprises, LLC   2008 WA-FIN $5,000
Wortham Oil & Gas   2008 WA-FIN $5,000
WOGE/WOG Ellison Well #1 Joint Venture   2008 WA-FIN $5,000
CMHCEH, LLC   2008 WA-FIN $5,000
M & W Charitable Foundation et al.   2008 WA-FIN $52,000
American Fiber Green Products, Inc.   2008 WA-FIN $5,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Goldman Sachs Goldman Sachs financial services 2008 MULTI-FIN (*) $22,500,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-FIN (*) $25,000,000
Merrill Lynch Bank of America financial services 2008 MULTI-FIN (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2008 MULTI-FIN (*) $35,000,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
UBS Securities LLC and UBS Financial Services Inc. UBS financial services 2008 MULTI-FIN (*) $150,000,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
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.