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
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
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2001 FINRA $100,000
Mutual Service Corporation, Inc.   2001 FINRA $35,000
National Financial Services, L.L.C.   2001 FINRA $30,000
Windsor Capital Advisors, Inc.   2001 FINRA $20,000
Prudential Securities Incorporated Wells Fargo financial services 2001 FINRA $20,000
Pershing Trading Company, L.P.   2001 FINRA $20,000
Gerard Klauer Mattison & Co., Inc.   2001 FINRA $10,000
BancBoston Robertson Stephens Bank of America financial services 2001 FINRA $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Ko Securities, Inc.   2001 FINRA $162,450
Fleet Securities, Inc.   2001 FINRA $50,000
NDB Capital Markets LP   2001 FINRA $250,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $18,000
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
Spear, Leeds & Kellogg Goldman Sachs financial services 2001 FINRA $10,000
Access Securities, Inc.   2001 FINRA $14,000
Aegis Capital Corp.   2001 FINRA $19,000
Dalton Kent Securities Group, Inc.   2001 FINRA $25,000
Ramius Securities L.L.C.   2001 FINRA $61,000
Torrey Pines Securities, Inc.   2001 FINRA $14,000
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
NDB Capital Markets, LP   2001 FINRA $75,000
Lehman Brothers, Inc. Lehman Brothers financial services 2001 FINRA $65,000
Fleet Securities, Inc.   2001 FINRA $40,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $40,000
Banc of America Securities LLC Bank of America financial services 2001 FINRA $40,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2001 FINRA $25,000
ING Barings LLC   2001 FINRA $20,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2001 FINRA $15,000
Penson Financial Services, Inc.   2001 FINRA $15,000
Chase Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Ramius Securities LLC   2001 FINRA $10,000
All-Tech Direct, Inc.   2001 FINRA $250,000
Momentum Securities, LLC   2001 FINRA $75,000
CyBerBroker, Inc.   2001 FINRA $20,000
Cornerstone Securities Corporation   2001 FINRA $35,000
Summit Trading, Inc.   2001 FINRA $20,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2001 FINRA $2,300,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2001 FINRA $225,000
Banc One Capital Markets, Inc.   2001 FINRA $1,800,000
Prudential Securities, Inc. Wells Fargo financial services 2001 FINRA $10,000
First Union Brokerage Services, Inc. Wells Fargo financial services 2001 FINRA $32,500
Allmerica Investments, Inc.   2001 FINRA $15,000
Lutheran Brotherhood Securities Corp.   2001 FINRA $25,000
Datek Online Brokerage Services, LLC   2001 FINRA $30,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
Anamar Communications, Inc.   2002 SEC $136,917
Basic Capital Management, Inc.   2002 SEC $850,000
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
W.J. Nolan & Co., Inc.   2002 SEC $192,028
Advance Local Development Corp.   2002 SEC $9,509,736
Commercial Express, LLC and Progressive Financial, Inc.   2002 SEC $23,032,869
Big Country AGS, Inc. d/b/a AGS, Inc.   2002 SEC $242,840
iCapital Markets LLC   2002 SEC $6,300,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Gemisys Corporation   2002 SEC $15,000
Millenium Capital Advisors of Pennsylvania, Inc   2002 SEC $50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC   2002 SEC $175,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Renberg Capital Management, Inc.   2002 SEC $40,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Portfolio Advisory Services, LLC   2002 SEC $50,000
Performance Analytics, Inc.   2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2002 SEC $75,000
Lone Star Transfer, Inc.   2002 SEC $10,000
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.