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
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
Currency Trading Systems   2001 CFTC $1,521,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
TLC Investments & Trade Co.   2001 SEC $106,600,000
Commonwealth Communications Group   2001 SEC $716,516
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications Corporation, and Wireless Cable Television of Shreveport Limited Liability Company   2001 SEC $41,727,403
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc.   2001 SEC $9,395,066
World Financial & Investment Co., Inc.   2001 SEC $175,000
The Globus Group   2001 SEC $300,000
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
Pacific Air Transport   2001 SEC $1,364,692
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
One Touch Marketing, Inc.   2001 SEC $118,387
Sunset Investment Group, Inc.   2001 SEC $70,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Millennium Group of New York, LLC   2001 SEC $7,602
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
Western Asset Management Co. Franklin Resources financial services 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources financial services 2001 SEC $50,000
W.J. Nolan & Co.   2001 SEC $192,028
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
Oechsle International Advisors L.L.C.   2001 SEC $200,000
Hawthorne Associates, Inc.   2001 SEC $25,000
Sage Advisory Services LLC   2001 SEC $288,328
JPR Capital Corp.   2001 SEC $55,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2001 SEC $50,000
United Stock Transfer Inc.   2001 SEC $10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc.   2001 SEC $400,000
Joel R. Mogy Investment Counsel, Inc.?   2001 SEC $12,500
Business & Financial Advisors, Inc.   2001 SEC $128,817
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
Theglobe.com   2001 NY-AG $100,000
Waste Management, Inc. Waste Management waste management and environmental services 2001 CT-AG $457,000,000
Coastal Resources Corp.   2001 AK-DBS $50,000
Global Harvest Corp.   2001 AZ-SEC $20,000
Mobile Cash Systems, LLC et al.   2001 AZ-SEC $12,192,829
United Planners' Financial Services of America, A Limited Partnership   2001 AZ-SEC $79,000
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc.   2001 AZ-SEC $5,336,160
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Early Detection Centers Inc. and Johnathon Roberts, Inc.   2001 AZ-SEC $210,000
Why Not Entertainment, L.L.C.   2001 AZ-SEC $137,500
Hotel Connect, LLC et al.   2001 AZ-SEC $5,400,000
Investment Planners of America, Inc.   2001 AZ-SEC $25,000
Prosperity Investors Group   2001 AZ-SEC $303,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Integrity Assured Life Settlements, Inc.   2001 AZ-SEC $10,611
Steven S. Levine Chartered   2001 AZ-SEC $5,000
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
Profutura LLC   2001 AZ-SEC $6,215,350
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Janney Montgomery Scott, Inc. Penn Mutual financial services 2001 DE-SEC $210,909
Security Asset Management, Inc. and Security Asset Capital Corp.   2001 FL-OFR $20,000
LT Lawrence & Co., Inc.   2001 FL-OFR $20,000
Olde Discount Corp.   2001 FL-OFR $35,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
Trinity Investment Club Ltd.   2001 FL-OFR $5,000
Wall Street Financial Group, Inc.   2001 FL-OFR $10,000
Scanlon & Associates   2001 FL-OFR $25,000
Morgan Sterling Currency Exchange, Inc.   2001 ID-SEC $5,000
Agricultural Services of America, Inc. and Agricultural Investments of America, Inc.   2001 ID-SEC $649,882
Premier Marketing & Investments, Inc.   2001 ID-SEC $40,000
Minnesota Mutual Life Insurance Co. and Ascend Financial Services   2001 MS-SEC $550,000
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
Bison Capital Inc.   2001 ND-SEC $5,000
BrokerageAmerica Inc.   2001 ND-SEC $5,000
Energy Group International Inc.   2001 OR-FIN $5,000
Arizona Metro Direct Information Services Inc.   2001 OR-FIN $23,500
Skylink Telecommunications Corp.   2001 OR-FIN $25,000
Northwest Communications Inc.   2001 OR-FIN $50,000
Full Power Group Inc.   2001 OR-FIN $25,000
Courant Consulting Group Inc.   2001 OR-FIN $25,000
21 Century Power   2001 OR-FIN $25,000
Goldis Financial Group Inc.   2001 TN-SEC $10,000
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
Woodlands Securities Corporation   2001 TX-SEC $5,000
Protrader Securities Corporation   2001 TX-SEC $20,000
AIRCABLE OF ROANOKE, INC. AND DIGITAL BROADCAST CORP.   2001 VA-SEC $102,500
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC   2001 VA-SEC $161,000
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
GLOBALINK SECURITIES, INC.   2001 VA-SEC $30,000
21ST. CENTURY TECHNOLOGIES FUNDING   2001 VA-SEC $5,000
21ST. CENTURY TECHNOLOGIES LLC   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE MANAGEMENT LLC   2001 VA-SEC $5,000
BRIGHT COVE SECURITIES INC.   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE LPS   2001 VA-SEC $5,000
INTEGRATED BROKERAGE SERVICES   2001 VA-SEC $775,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
Preferred Funding, Inc.   2001 WA-FIN $5,000
Payday Today USA.com, Inc.   2001 WA-FIN $50,000
Woodstock Securities, Ltd.   2001 WA-FIN $6,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
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.