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
Prospera Financial Services Inc.   2006 TX-SEC $5,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
EARTHWALK COMMUNICATIONS, INC.   2006 VA-SEC $60,000
NATIONAL TENANT NETWORK, INC.   2006 VA-SEC $5,500
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TRANSCOMMUNITY FINANCIAL CORP.   2006 VA-SEC $58,900
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
CLARKE ENERGY GROUP INC.   2006 VA-SEC $116,000
CAC Capital Corporation   2006 VA-SEC $15,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
North American Resource Group, Inc.   2006 WA-FIN $38,175
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Austin & Associates   2006 WA-FIN $30,000
LionHearted Entertainment, Inc.   2006 WA-FIN $15,000
Family First Advanced Estate Planning and Family First Insurance Services   2006 WA-FIN $50,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
USAllianz Securities Allianz financial services 2006 FINRA $5,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
EKN Financial Services Inc.   2006 FINRA $200,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $16,300,000
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
American Funds Distributors Inc.   2006 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
ING America Insurance Holdings Inc. Voya Financial financial services 2006 FINRA $7,000,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 FINRA $350,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2006 FINRA $225,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2006 FINRA $200,000
Trillium Trading LLC   2006 FINRA $225,000
Schonfeld & Company LLC   2006 FINRA $175,000
LaSalle Street Securities, Inc.   2006 FINRA $200,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 FINRA $5,000,000
David Lerner Associates, Inc.   2006 FINRA $400,000
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
Berean Capital Incorporated   2006 FINRA $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $250,000
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
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.