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
Thompson Price Holding Inc.   2009 SEC $288,815
Lion Gate Capital, Inc.   2009 SEC $150,000
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
Hazan Capital Management LLC   2009 SEC $4,000,000
TJM Proprietary Trading LLC   2009 SEC $541,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Perry Corp.   2009 SEC $150,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
Marshall Holdings International, Inc.   2009 SEC $8,974,033
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Colonial Fund LLC and Colonial Investment Management LLC   2009 SEC $1,400,000
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Golden State Equity Investors, Inc.   2009 SEC $1,577,579
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 SEC $7,000,000
M.A.G. Capital LLC   2009 SEC $100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 SEC $1,000,000
Equity Services, Inc.   2009 SEC $300,000
Simpson Capital Management, Inc.   2009 SEC $6,650,000
Merriman Curhan Ford & Co.   2009 SEC $100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC   2009 SEC $395,000
Banc of America Investment Services, Inc. Bank of America financial services 2009 SEC $150,000
Perceptive Advisors LLC   2009 SEC $439,755
First New York Securities L.L.C.   2009 SEC $69,008
GLB Trading, Inc.   2009 SEC $220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network   2009 SEC $100,000
United Global Securities, Inc.   2009 SEC $25,000
Lightspeed Trading LLC   2009 SEC $77,260
AXA Advisors, LLC Equitable Holdings financial services 2009 SEC $50,000
Merchant Capital, L.L.C.   2009 SEC $55,000
United Industrial Corporation   2009 SEC $337,679
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
Ingram Micro Inc. Platinum Equity private equity (including portfolio companies) 2009 SEC $15,000,000
INTECH Investment Management LLC   2009 SEC $300,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Hennessee Group LLC   2009 SEC $814,644
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $65,000
Cornerstone Capital Management, Inc.?   2009 SEC $335,758
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
Susquehanna Investment Group   2009 SEC $7,640,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs financial services 2009 SEC $7,200,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
Group One Trading, L.P.   2009 SEC $1,800,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Botta Capital Management, L.L.C.   2009 SEC $825,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 SEC $125,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
Diamondback Capital Management, LLC   2009 SEC $162,175
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
Gabelli Funds, LLC Gamco Investors Inc. financial services 2009 SEC $450,000
Access Capital Partners   2009 NY-AG $1,600,000
Broadcom Corp. Broadcom electrical and electronic equipment 2009 NM-AG $160,500,000
Carlyle Group Carlyle Group private equity (including portfolio companies) 2009 NY-AG $20,000,000
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Falconhead Capital   2009 NY-AG $1,300,000
General Reinsurance Corporation Berkshire Hathaway diversified 2009 OH-AG $72,000,000
HM Capital Partners I   2009 NY-AG $1,560,000
Levine Leichtman Capital Partners   2009 NY-AG $200,000
Marsh and McLennan Marsh & McLennan financial services 2009 MULTI-AG $400,000,000
McLaughlin, Piven & Vogel   2009 DE-AG $60,000
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Merrill Lynch Bank of America financial services 2009 OH-AG $475,000,000
OppenheimerFunds Inc. Invesco financial services 2009 OR-AG $20,000,000
OppenheimerFunds, Inc. Invesco financial services 2009 IL-AG $77,230,000
Pacific Corporate Group Holdings, LLC   2009 NY-AG $2,000,000
Riverstone Holdings LLC Riverstone Holdings private equity (including portfolio companies) 2009 NY-AG $30,000,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2009 MULTI-AG $456,000,000
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd. Johnson Controls automotive parts 2009 MI-AG $24,500,000
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
Hughes Energy Inc.   2009 USAO $4,261,211
Mowell Financial Group, Inc.   2009 AL-SEC $125,000
Key Financial Corp.   2009 AR-SEC $5,000
Gateway Mortgage Group, LLC   2009 AR-SEC $15,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Apple Tree Investments, Inc.   2009 AR-SEC $50,000
Marine 3   2009 AZ-SEC $75,000
BSK Enterprises, LLC   2009 AZ-SEC $2,539,225
Cosas Management Group, L.L.C.   2009 AZ-SEC $1,405,366
Southern Homes, L.L.C.   2009 AZ-SEC $1,327,500
Highline Estates, LLC et al.   2009 AZ-SEC $676,570
Trademark Capital Management, LLC and Blue Investments, LLC   2009 AZ-SEC $3,100,880
Wealth Enhancement & Preservation, LLC   2009 AZ-SEC $145,006
Knuckleball Capital Management, LLC   2009 AZ-SEC $229,000
Whispering Winds Properties, L.L.C et al.   2009 AZ-SEC $16,633,570
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 AZ-SEC $250,000
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc.   2009 AZ-SEC $448,043
The Greatest Only Divine Productions, L.L.C.   2009 AZ-SEC $353,000
DJL & Associates, L.L.C.   2009 AZ-SEC $67,849
The Kodiak Investment Group, L.L.C.   2009 AZ-SEC $382,475
Oasis of Wealth, Inc.   2009 AZ-SEC $53,315
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Team Heat, LLC   2009 AZ-SEC $1,047,931
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
Iron Horse Petroleum, Inc.   2009 AZ-SEC $149,481
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.