« Return to search form

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
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
FlexVest Securities Group Inc.   2005 TX-SEC $10,000
Kaizen Management LP   2005 TX-SEC $10,000
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Tamborello Capital Management LLC   2005 TX-SEC $75,015
FIDELITY ASSURANCE ASSOCIATES   2005 VA-SEC $10,000
BELLACINO'S, INC.   2005 VA-SEC $8,000
FIREHOUSE RESTAURANT ET AL.   2005 VA-SEC $9,000
Anthone Properties, LLC   2005 WA-FIN $60,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Pacific Coast Investment Company   2005 WA-FIN $5,000
Runnymede Capital Partners and Runnymede Capital Management   2005 WA-FIN $15,000
Millennium Marketing and Management, LLC   2005 WA-FIN $15,000
Financial & Estate Strategies, Inc.   2005 WA-FIN $45,000
Mana, LLC   2005 WA-FIN $10,000
MA Quik Framing Inc.   2005 WA-FIN $15,000
Newcastle Escrow Corporation   2005 WA-FIN $5,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
Thomas Weisel Partners LLC Stifel Financial financial services 2005 MULTI-FIN (*) $5,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MULTI-FIN $18,000,000
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
Harrington Advisory Services SL, Richmond Royce Advisory Services SLU, and Stratford Advisory Services   2006 CFTC $19,555,041
Worldwide Commodity Corporation and South Coast Commodities, Inc.   2006 CFTC $14,700,000
Axess Trading Co., Inc.   2006 CFTC $569,437
International Investments Holdings Corp.   2006 CFTC $12,120,000
Risk Capital Trading Group, Inc   2006 CFTC $22,000,000
COES FX Clearing, Inc.   2006 CFTC $246,601
Nexgen Software Systems, Inc.   2006 CFTC $20,000
Wall Street Underground, Inc.   2006 CFTC $9,500,000
First American Investment Services, Inc.   2006 CFTC $8,983,388
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
1st Global Capital Corp.   2006 SEC $100,000
Hartford Financial Services Group, Inc. Hartford Financial Services financial services 2006 SEC $55,000,000
U.S. Wind Farming, Inc.   2006 SEC $38,487
U.S. Gas & Electric, Inc.   2006 SEC $167,000
Graycort Financial, LLC   2006 SEC $100,000
BISYS Fund Services, Inc.   2006 SEC $21,400,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2006 SEC $125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
Piper Jaffray & Co. Piper Sandler financial services 2006 SEC $125,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
SunTrust Capital Markets Inc. Truist Financial financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Unified Fund Services, Inc.   2006 SEC $125,000
Bio-Heal Laboratories, Inc.   2006 SEC $618,135
National Clearing Corporation   2006 SEC $2,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
Langley Partners, North Olmsted Partners and Quantico Partners   2006 SEC $13,517,928
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
Venture Capital Holdings LLC   2006 SEC $4,808,953
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.?   2006 SEC $495,596
Kaplan & Co., Securities, Inc.   2006 SEC $100,000
FCA Corp.   2006 SEC $25,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Wall Street Access   2006 SEC $688,084
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Cantella & Company, Inc.   2006 SEC $50,000
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Dunham & Associates Investment Counsel, Inc.   2006 SEC $150,000
Delaware Service Company, Inc.   2006 SEC $435,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 SEC $50,000,000
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
IFMG Securities, Inc.   2006 SEC $1,000,000
Weiss Research, Inc   2006 SEC $1,991,141
CapitalWorks Investment Partners, LLC   2006 SEC $40,000
Hutchens Investment Management, Inc.?   2006 SEC $40,000
Computershare Trust Company of Canada   2006 SEC $1,101,868
INET ATS, Inc.   2006 SEC $350,000
Metropolitan Life Insurance Company MetLife financial services 2006 SEC $250,000
New England Securities Corp.   2006 SEC $2,614,865
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2006 SEC $558,806
Canary Capital Partners LLC   2006 NJ-AG $10,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
First Montauk Securities Corp.   2006 NJ-AG $475,000
ING Voya Financial financial services 2006 MULTI-AG $33,000,000
J.P. Turner & Company, L.L.C.   2006 NJ-AG $195,000
New York State United Teachers   2006 NY-AG $100,000
Prudential Equity Group Prudential Financial financial services 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial financial services 2006 NY-AG (*) $270,000,000
The Hartford Financial Services Group Hartford Financial Services financial services 2006 MULTI-AG $20,000,000
UBS Financial Services Inc. UBS financial services 2006 NJ-AG $24,750,000
Wachovia Capital Markets LLC Wells Fargo financial services 2006 MULTI-AG $25,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 NY-AG (*) $75,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
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.