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
Winning Mortgages, LLC   2007 MD-SEC $20,000
American High Technology Center, Inc. and Kalimantan Mining, LLC   2007 MD-SEC $20,000
Rosewood Energy, LLC   2007 MD-SEC $150,000
International Energy and Resources, Inc.   2007 MD-SEC $75,000
Ardin Logistics, LLC   2007 MD-SEC $100,000
TAG Entertainment USA, Inc. et al.   2007 MD-SEC $380,000
Financial Sources, Inc.   2007 MD-SEC $25,000
Garden State Securities, Inc.   2007 ME-SEC $10,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
CRT Enterprises, LLC and Platinum Financial Advisors, LLC and Sterling-Meridian, LLC   2007 MO-SEC $63,194
Brookstreet Securities Corp.   2007 MO-SEC $20,950
Robert Olsen, P.C.   2007 MO-SEC $5,000
AFG Capital management, Inc.   2007 MO-SEC $11,870
Barrington Capital Management, Inc.   2007 MO-SEC $14,000
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
ROLFund.com and Crunkland Records, Ltd. and Crunkvest Ltd.   2007 MO-SEC $34,390
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Calivin Bird & Associates, LLC and Island Falls Financial, Inc.   2007 MO-SEC $14,605
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 MO-SEC $230,469
Great American Investors, Inc.   2007 MO-SEC $17,500
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. NatWest Group PLC financial services 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
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2007 FINRA $500,000
Rafferty Capital Markets, LLC   2007 FINRA $409,605
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 FINRA $300,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2007 FINRA $370,000
Morgan Stanley & Co. Morgan Stanley financial services 2007 FINRA $12,500,000
AXA Advisors, LLC Equitable Holdings financial services 2007 FINRA $2,600,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2007 FINRA $6,100,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services 2007 FINRA $473,000
NYLIFE Securities LLC New York Life Insurance financial services 2007 FINRA $354,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 FINRA $322,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services 2007 FINRA $100,000
Wells Fargo Securities, LLC Wells Fargo financial services 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo financial services 2007 FINRA $2,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2007 FINRA $15,200,000
HSBC Brokerage HSBC financial services 2007 FINRA $250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services 2007 FINRA $400,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2007 FINRA $2,750,000
Scudder Distributors, Inc.   2007 FINRA $425,000
Putnam Retail Management Limited Partnership Power Financial Corporation financial services 2007 FINRA $175,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services 2007 FINRA $100,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services 2007 FINRA $3,750,000
INH-Interholding SA   2008 CFTC $6,075,841
Innovative Capital Management, LLC   2008 CFTC $1,350,000
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.