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
Alaron Trading Corporation   2008 CFTC $299,000
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
Forefront Investment Corporation   2008 CFTC $260,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
Rusfeldt Investments LLP   2008 CFTC $2,889,071
Executive Commodity Corp.   2008 CFTC $23,910,000
Galaxy Resources 2000, LLC   2008 CFTC $1,435,470
Supama International DMCC   2008 CFTC $164,680
ESL Partners, L.P.   2008 FTC $525,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
Lazard Capital Markets LLC   2008 SEC $2,847,008
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
H&M Petroleum Corporation and American Energy Resources Corporation   2008 SEC $510,000
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd.   2008 SEC $41,774,923
Quogue Capital LLC   2008 SEC $390,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
FacePrint Global Solutions, Inc.   2008 SEC $1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC   2008 SEC $39,900,000
AirTrac Inc.   2008 SEC $2,005,401
Lazare Industries, Inc.   2008 SEC $1,975,911
Milkie/Ferguson Investments, Inc.   2008 SEC $25,000
MedCap Management & Research LLC   2008 SEC $70,632
Victoire Finance Capital LLC   2008 SEC $215,631
Sirios Capital Management, L.P.?   2008 SEC $287,058
Moon Capital Management, LP?   2008 SEC $139,071
LPL Financial Corporation LPL Financial financial services 2008 SEC $275,000
Finance 500, Inc.   2008 SEC $345,499
Ernst & Young LLP Ernst & Young business services 2008 SEC $2,918,987
Pax World Management Corp.   2008 SEC $500,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
DKR Oasis Management Company, L.P.?   2008 SEC $282,413
First Southwest Company   2008 SEC $150,000
Quogue Capital LLC   2008 SEC $944,056
vFinance Investments, Inc.   2008 SEC $26,559
First Montauk Securities Corp.   2008 SEC $100,742
Gabelli Funds LLC Gamco Investors Inc. financial services 2008 SEC $16,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
Heartland Advisors, Inc.   2008 SEC $3,500,000
Chronos Asset Management, Inc.   2008 SEC $2,176,915
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
American Equity Investment Life Insurance Co.   2008 MN-AG $250,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.   2008 MN-AG $375,000
Banc of America Securities LLC Bank of America financial services 2008 MULTI-AG $4,550,000,000
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup financial services 2008 MULTI-AG $7,100,000,000
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank financial services 2008 MULTI-AG $3,348,333,333
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Girvin & Ferlazzo, P.C.   2008 NY-AG $500,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2008 MULTI-AG $3,355,833,333
Hogan, Sarzynski, Lynch, Surowka & DeWind LLP   2008 NY-AG $100,000
Jackson National Life Insurance Co Prudential PLC financial services 2008 CT-AG $484,000
JP Morgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-AG $3,525,000,000
Merrill Lynch & Co. Bank of America financial services 2008 MULTI-AG $3,458,333,333
Morgan Stanley Morgan Stanley financial services 2008 MULTI-AG $3,535,000,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-AG $859,800,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd.,   2008 NY-AG $40,000,000
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
Wachovia Securities Wells Fargo financial services 2008 MULTI-AG $60,000,000
Patapsco Securities, Inc. dba Chapin Davis   2008 AL-SEC $5,377
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
Newman Energy Corp.   2008 AL-SEC $7,000
Rothschild Investment Corp.   2008 AL-SEC $17,646
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Girosol of Kentucky, Corp.   2008 AR-SEC $5,000
Great Nation Investment Corp.   2008 AR-SEC $21,112
Boardwalk Mortgage Group, LLC   2008 AR-SEC $5,631
Southwestern Union Conference of Seventh-day Adventists   2008 AR-SEC $5,000
D-Val, LLC and D-Val Construction & Real Estate Investments   2008 AR-SEC $326,000
Diamond Bay Investments, Inc.   2008 AZ-SEC $25,000
Kelly's Mobile Home Sales, Inc.   2008 AZ-SEC $4,592,939
CAG Financial, L.L.C and CAG Financial Services, L.L.C and Leigh & Associates, L.L.C.   2008 AZ-SEC $566,573
G'ieber Financial, LLC   2008 AZ-SEC $1,609,650
Panama Capital Funding, L.L.C.   2008 AZ-SEC $5,000
Bella Funding, L.L.C.   2008 AZ-SEC $10,000
Kuypow, Inc. dba Mo's Properties and Investment Group   2008 AZ-SEC $819,290
Pacific Coast Holding Co. and Hall of Fame Partners, LLC   2008 AZ-SEC $650,000
MNI Properties, L.L.C. and Mortgage Notes, Inc.   2008 AZ-SEC $5,867,967
CAG Capital, Inc. dba Glendale Car Connection   2008 AZ-SEC $1,024,406
Property Quest D.J.E., Inc.   2008 AZ-SEC $5,210,399
Reserve Oil & Gas, Inc.   2008 AZ-SEC $20,000
Severns Properties, LLC and Severns Capital, LLC   2008 AZ-SEC $3,631,115
Motors de Amigos, Inc. and Rock'N R Car Company Enterprises, Inc.   2008 AZ-SEC $315,150
Nakami Chi Group Ministries International   2008 AZ-SEC $11,294,912
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Monterey Bay Securities, Inc.   2008 CA-DFPI $300,231
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DFPI $25,000
Cogar Financial Services, Inc.   2008 CA-DFPI $1,000,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DFPI $50,000
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
Managers Distributors, Inc.   2008 CT-SEC $350,000
New Castle Financial Services LLC   2008 CT-SEC $100,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Basic Investors Inc.   2008 CT-SEC $21,500
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Java's Brewin Development, Inc.   2008 CT-SEC $30,000
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
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.