« Return to search form

Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
First Trust Portfolios L.P   2004 FINRA $118,680
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2004 FINRA $109,527
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $38,312
Prudential Equity Group, LLC Prudential Financial financial services 2004 FINRA $17,306
UBS Financial Services Inc. UBS financial services 2004 FINRA $200,666
Wachovia Securities, LLC. Wells Fargo financial services 2004 FINRA $39,486
D.A. Davidson & Co.   2004 FINRA $150,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 FINRA $150,000
Stifel Nicolaus & Company Stifel Financial financial services 2004 FINRA $125,000
National Planning Corp.   2004 FINRA $100,000
SII Investments, Inc.   2004 FINRA $100,000
Davenport & Co. LLC   2004 FINRA $738,000
Nationwide Investment Services Corporation   2004 FINRA $175,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2004 FINRA $300,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $4,950,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,290,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2004 FINRA $5,390,000
David Lerner Assoc.   2004 FINRA $100,000
Robertson Stephens, Inc. Bank of America financial services 2004 FINRA $275,000
Ameritrade, Inc.   2004 FINRA $10,000,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $280,469
Lehman Brothers Inc. Lehman Brothers financial services 2004 FINRA $123,882
Cresap, Inc.   2004 FINRA $99,458
SWS Financial Services   2004 FINRA $66,468
Kirkpatrick, Pettis, Smith, Polian Inc.   2004 FINRA $39,935
Southwest Securities, Inc. Hilltop Holdings financial services 2004 FINRA $36,971
David Lerner Associates, Inc.   2004 FINRA $32,711
Brecek & Young Advisors, Inc.   2004 FINRA $31,224
Credit Suisse First Boston LLC Credit Suisse financial services 2004 FINRA $770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services 2004 FINRA $11,500,000
Worldco LLC   2004 FINRA $1,500,000
Veras Investment Partners, LLC   2005 CFTC $500,000
Trade Exchange Network Limited   2005 CFTC $150,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2005 CFTC $85,000
Armajaro Trading Limited   2005 CFTC $35,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Allegheny Gulf Investments, Inc   2005 CFTC $440,000
Hencorp Becstone Futures LC   2005 CFTC $50,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management   2005 SEC $148,000,000
Federated Investors, Inc. Federated Hermes financial services 2005 SEC $72,000,000
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
DB Investment Managers, Inc.   2005 SEC $33,159
Galleon Management, L.P.   2005 SEC $2,020,450
Oaktree Capital Management, LLC Oaktree Capital Management private equity (including portfolio companies) 2005 SEC $345,701
Stracq, Inc.   2005 SEC $660,000
New York Stock Exchange, Inc. IntercontinentalExchange Group financial services 2005 SEC $20,000,000
Capital Concept Marketing, Inc.   2005 SEC $580,000
Flowserve Corporation Flowserve industrial equipment 2005 SEC $350,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
Herman's World of Sports, Inc.   2005 SEC $663,685
Goldman, Sachs & Co. Goldman Sachs financial services 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Schultz Investment Advisors, Inc.   2005 SEC $114,534
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Renn Capital Group, Inc.   2005 SEC $2,961,362
Blue River Capital LLC   2005 SEC $150,000
Instinet, LLC and INET ATS, Inc.   2005 SEC $700,000
International Equity Advisors, LLC   2005 SEC $3,190,000
Applied Financial Group Inc.   2005 SEC $50,000
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
Springer Investment Management, Inc.?   2005 SEC $50,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
CMS Fund Advisers, Inc.   2005 SEC $115,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc   2005 SEC $40,000
Marketxt, Inc.   2005 SEC $49,965
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
vFinance Investments, Inc.   2005 SEC $50,000
Capital Analysts Incorporated   2005 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Colley Asset Management, Inc.   2005 SEC $100,000
Brean Murray & Co., Inc.   2005 SEC $150,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Federated Investors, Inc. Federated Hermes financial services 2005 NY-AG (*) $100,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 NJ-AG $10,000,000
Millennium Partners   2005 NY-AG (*) $121,400,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Pureinvestor.com Inc.   2005 AK-DBS $75,000
PIPS Inc.   2005 AK-DBS $75,000
PIC Trust Limited   2005 AK-DBS $75,000
Westoby Works   2005 AK-DBS $75,000
Team JollyPIPster, LLC   2005 AK-DBS $75,000
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.