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
Wealth Management LLC   2010 SEC $1,471,002
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
AGB Partners LLC   2010 SEC $50,000
Palmyra Capital Advisors LLC,   2010 SEC $330,000
Thirteen Thirty-Two, Inc.   2010 CFTC $860,000
Strongbow Investments GP, LLC   2010 CFTC $2,800,000
FX Professional International Solutions, Inc.   2010 CFTC $4,000,000
Prestige Ventures Corporation and Federated Management Group, Inc.   2010 CFTC $26,000,000
CRE Capital Corp.   2010 CFTC $25,700,000
M25 Investments, Inc. and M37 Investments, LLC   2010 CFTC $16,200,000
Trigon Group LLC   2010 CFTC $41,200,000
Rosenthal Collins Group, L.L.C.   2010 CFTC $1,300,000
Triland USA Inc.   2010 CFTC $725,000
Alaron Trading Corporation   2010 CFTC $260,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Billion Coupons, Inc.   2010 CFTC $6,200,000
TRP Advisory Group, Inc. and Traders East, Inc.   2010 CFTC $150,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Financial Investments, Inc.   2010 CFTC $130,000
Gage's Fertilizer & Grain, Inc.   2010 CFTC $175,000
McCall Business Group, LLC and MBG Global, LLC   2010 CFTC $3,800,000
Noble Americas Corp. Vitol financial services 2010 CFTC $130,000
Moore Capital Management, LP   2010 CFTC $25,000,000
San Diego Gas & Electric Company Sempra Energy utilities and power generation 2010 CFTC $80,000
Lake Dow Capital LLC   2010 CFTC $4,000,000
Guardian Futures, Inc.   2010 CFTC $260,000
First Capitol Futures Group   2010 CFTC $20,300,000
One World Capital Group   2010 CFTC $520,000
UBS AG UBS financial services 2010 CFTC $130,000
Pressio Capital Management, LP   2010 CFTC $1,000,000
Scotia Capital Inc. Scotiabank financial services 2010 CFTC $250,000
Pinemore, L.P. (Pinemore) and Birchmore, L.P.   2010 CFTC $500,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc.   2010 SEC $850,000
Gartmore Investment Limited   2010 SEC $1,347,251
New Castle Funds LLC   2010 SEC $293,064
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
The Buckingham Research Group, Inc. and Buckingham Capital Management   2010 SEC $125,000
Sands Brothers Asset Management LLC   2010 SEC $60,000
Ark Asset Management Co., Inc.   2010 SEC $750,000
Valentine Capital Asset Management, Inc.?   2010 SEC $432,007
Carlson Capital, L.P.   2010 SEC $2,653,234
Sierra Financial Advisors, LLC   2010 SEC $14,599
LACE Financial Corp.   2010 SEC $20,000
Pinnacle Capital Markets LLC   2010 SEC $25,000
Spencer International Advisors, Inc.   2010 SEC $75,000
Appaloosa Management L.P.   2010 SEC $1,304,523
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2010 SEC $225,000
Haberman Value Fund, L.P.   2010 SEC $263,443
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
GPS Partners, LLC   2010 SEC $1,284,171
Prime Capital Services, Inc.   2010 SEC $144,262
Warrior Fund LLC   2010 SEC $221,384
Axiom Capital Management, Inc.   2010 SEC $60,000
Aldus Equity   2010 NY-AG $1,000,000
American International Group American International Group financial services 2010 OH-AG $725,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
DAV/Wetherly Financial   2010 NY-AG $1,000,000
GKM Newport Generation Capital Services, LLC   2010 NY-AG $1,600,000
Global Strategy Group   2010 NY-AG $2,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2010 FL-AG $25,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
Manatt Phelps & Phillips, LLP   2010 NY-AG $550,000
Markstone Capital Group LLC   2010 NY-AG $18,000,000
Merrill Lynch Bank of America financial services 2010 NJ-AG $4,871,620
Merrill, Lynch, Pierce, Fenner and Smith, Inc. Bank of America financial services 2010 NJ-AG $728,260
Nationwide Retirement Solutions   2010 AL-AG $16,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2010 MULTI-AG $31,000,000
OppenheimerFunds Invesco financial services 2010 NM-AG $67,300,000
Patricia Lynch Associates, Inc.   2010 NY-AG $500,000
Platinum Advisors   2010 NY-AG $500,000
Quadrangle Group LLC   2010 NY-AG $7,000,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2010 NJ-AG $51,724
Regal Securities   2010 NJ-AG $10,000
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
State Street Bank & Trust Co. State Street Corp. financial services 2010 MA-AG (*) $300,000,000
The Investment Center Inc.   2010 NJ-AG $75,000
UBS UBS financial services 2010 MI-AG $117,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc.   2010 AL-SEC $120,000
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
Overland Mortgage Corp.   2010 AR-SEC $30,000
Nationwide Mortgage Concepts, LLC   2010 AR-SEC $20,000
W.R Starkey Mortgage, LLP   2010 AR-SEC $20,000
United Fidelity Funding Corp.   2010 AR-SEC $12,500
Fidelity National Legal Systems, Inc.   2010 AR-SEC $10,000
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Sir Mortgage & Finance of Arizona, Inc.   2010 AZ-SEC $90,000
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Nato Enterprises, LLC   2010 AZ-SEC $3,625,127
Financial American Corp.   2010 AZ-SEC $2,536,692
Motion DNA, Inc.   2010 AZ-SEC $650,712
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.