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
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Commonwealth Equity Services, LLP   2007 SEC $250,000
Detwiler, Mitchell, Fenton & Graves, Inc.   2007 SEC $250,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Platforms Wireless International Corp.   2007 SEC $2,431,213
GLG Partners, L.P.   2007 SEC $3,203,639
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Blue Bottle Limited   2007 SEC $10,846,785
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs financial services 2007 SEC $2,000,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC   2007 SEC $455,700
Crestview Capital Partners   2007 SEC $394,640
GetAnswers, Inc.   2007 SEC $15,713,676
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
20th Century Jackson Equities, Inc.   2007 SEC $470,269
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Park Financial Group, Inc.   2007 SEC $30,373
Founding Partners Capital Management Compan   2007 SEC $182,244
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Consulting Services Group, LLC   2007 SEC $20,000
MCL Financial Group, Inc.   2007 SEC $60,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2007 SEC $350,000
AllianceBernstein, L.P. Equitable Holdings financial services 2007 SEC $450,000
Intervoice   2007 SEC $942,628
D.M. Keck & Company, Inc.   2007 SEC $15,000
Financial Design Associates, Inc.   2007 SEC $300,000
Folger Nolan Fleming Douglas Capital Management, Inc.   2007 SEC $244,921
Haidar Capital Management, LLC   2007 SEC $4,580,000
GLG Partners, LP   2007 SEC $2,703,635
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
Amaranth Advisors L.L.C.   2007 SEC $716,819
Citigroup Global Markets, Inc. Citigroup financial services 2007 SEC $200,000
Tier One, Inc.   2007 SEC $85,500
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Imperium Advisors, LLC   2007 SEC $119,964
Temple Securities, Ltd.   2007 SEC $268,346
Vertical Capital Partners, Inc.   2007 SEC $490,432
Pacific Growth Equities, LLC   2007 SEC $425,000
Kelmoore Investment Company, Inc.   2007 SEC $100,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
MBIA, Inc. MBIA financial services 2007 NY-AG $25,000,000
Murtha Cullina LLP   2007 CT-AG $16,250,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 MD-AG $402,386
Gulftex Operating, Inc.   2007 AL-SEC $7,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
Realty Mortgage Corp.   2007 AR-SEC $12,500
Mid America Energy, Inc. et al.   2007 AZ-SEC $300,000
Warren Exploration, LLC   2007 AZ-SEC $122,000
Meta Funding, LLC   2007 AZ-SEC $1,299,900
Hardy Asset Management   2007 AZ-SEC $732,076
Sneva Alliance   2007 AZ-SEC $115,282
ACI Holdings, Inc.   2007 AZ-SEC $999,763
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
Estate Protection Consultants, L.L.C.   2007 AZ-SEC $226,891
Agra Technologies, Inc.   2007 AZ-SEC $10,417,532
RYM Technology Holdings, L.L.C.   2007 AZ-SEC $25,000
Benchmark Financial Services, Inc.   2007 CA-DFPI $100,000
TransCoastal Partners, LLC   2007 CA-DFPI $25,000
Key Resource Group, LLC and Key Gas Corp. and Key Gas Holding, LLC   2007 CO-SEC $300,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
Millenco, L.L.C.   2007 CT-SEC $25,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
Great Eastern Securities, Inc.   2007 CT-SEC $600,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
ICG Financial, LLC   2007 CT-SEC $7,500
Advantage Capital Corp.   2007 CT-SEC $25,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
HCH Cypress, LLC   2007 CT-SEC $200,000
The McCall Business Group, LLC dba MBG Private Trading   2007 CT-SEC $220,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Branch Banco, Inc.   2007 FL-OFR $13,500
Lee County Acceptance Corp.   2007 FL-OFR $15,000
Seascape Management Co., LLC   2007 ID-SEC $23,000
EMI Sun Village, Inc. et al.   2007 ID-SEC $40,000
Impact, Inc. et al.   2007 ID-SEC $150,000
The BABCO Group, LLC   2007 ID-SEC $17,877
Unlimited Cash, Inc. and Douglas Network Enterprises   2007 IL-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2007 IL-SEC $40,000
Wunderlich Securities, Inc.   2007 IL-SEC $10,000
Infinex Investments, Inc.   2007 IL-SEC $10,100
Metro Suburban Realty   2007 IL-SEC $50,000
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.