Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
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. Macquarie 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. MetLife financial services 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. Macquarie 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
Triton EP, LLC   2006 AL-SEC $10,000
Divine Capital Markets, LLC   2006 AL-SEC $5,241
WSK Energy, L.L.C.   2006 AZ-SEC $5,000
Opulent Properties LLC et al.   2006 AZ-SEC $600,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Southwest Trust & Financial   2006 AZ-SEC $425,000
National Estate Planning Service and Planning and Senior Advisory Services   2006 AZ-SEC $635,000
Cornerstone Senior Planning   2006 AZ-SEC $545,000
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Butterworth Advisory Services and Senior Advisory Services   2006 AZ-SEC $285,000
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Parklane International Corp.   2006 AZ-SEC $20,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Derivium Capital, LLC   2006 CA-DFPI $750,000
Whitcraft Capital Management, Inc.   2006 CA-DFPI $45,000
National Investment Consultants, Inc. and Pacific Best Group Ltd.   2006 CA-DFPI $2,021,500
Capstone Investments   2006 CA-DFPI $50,000
Bancroft Ventures Ltd.   2006 CA-DFPI $14,300,000
Graybar Electric Company, Inc. Graybar Electric wholesalers 2006 CA-DFPI $45,000
Black Diamond Research, LLC   2006 CT-SEC $10,900
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
PIPS Inc.   2006 CT-SEC $100,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Digital Entertainment Corp.   2006 CT-SEC $20,000
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Vision Securities, Inc.   2006 CT-SEC $15,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
The Huntington Investment Co.   2006 CT-SEC $13,150
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
International Vacations, Ltd.   2006 CT-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
PFS Investments, Inc.   2006 FL-OFR $5,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 ID-SEC $415,000
First Wall Street Corp.   2006 ID-SEC $52,221
Terra Energy Investment Fund 1 L.L.C.   2006 IL-SEC $10,000
Vestreon Funding, L.L.C.   2006 IL-SEC $10,000
Harvest Financial Corp.   2006 IL-SEC $17,600
Stralem & Company, Inc.   2006 IL-SEC $5,000
Hardy Asset Management   2006 IL-SEC $25,000
Erudite Systems, Inc. et al.   2006 IL-SEC $20,000
Allen Company of Florida, Inc.   2006 IL-SEC $9,250
Edelman Financial Services LLC   2006 IL-SEC $5,700
Amvest Securities, Inc.   2006 IL-SEC $24,400
Western Growers Financial Services, Inc.   2006 IL-SEC $5,250
Z Touch Systems, Inc.   2006 IL-SEC $5,000
Flatlander Industries, Inc.   2006 IL-SEC $9,135
Paez Real Estate Funding   2006 IL-SEC $5,462
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.