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
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
CMS Fund Advisers, Inc.   2005 SEC $115,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc   2005 SEC $40,000
Marketxt, Inc.   2005 SEC $49,965
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
vFinance Investments, Inc.   2005 SEC $50,000
Capital Analysts Incorporated   2005 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Colley Asset Management, Inc.   2005 SEC $100,000
Brean Murray & Co., Inc.   2005 SEC $150,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Federated Investors, Inc. Federated Hermes financial services 2005 NY-AG (*) $100,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 NJ-AG $10,000,000
Millennium Partners   2005 NY-AG (*) $121,400,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Pureinvestor.com Inc.   2005 AK-DBS $75,000
PIPS Inc.   2005 AK-DBS $75,000
PIC Trust Limited   2005 AK-DBS $75,000
Westoby Works   2005 AK-DBS $75,000
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Caruba International, LLC   2005 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial financial services 2005 AL-SEC $100,000
Fountain Capital Management, LLC   2005 AZ-SEC $47,833
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
Retirement Planning Center   2005 AZ-SEC $167,944
Pristine Property & Investments, Inc.   2005 AZ-SEC $107,704
Southwest Capital Advisors LLC   2005 AZ-SEC $264,558
Check and Send, Inc.   2005 AZ-SEC $807,484
M.A.C Investments, Inc. et al.   2005 AZ-SEC $9,566,872
Universal FX Incorporated   2005 AZ-SEC $5,000
Worldwide Forex, Inc.   2005 AZ-SEC $5,000
Omni Horizon Group, LLP   2005 AZ-SEC $661,676
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
Listo, Inc.   2005 AZ-SEC $906,875
Brixon Group Ltd.   2005 AZ-SEC $8,786,445
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Leedha, Inc. dba Flintridge Asset Management Co.   2005 CA-DFPI $55,056
Shemano Capital Management   2005 CA-DFPI $54,250
First Command Financial Planning, Inc.   2005 CA-DFPI $470,959
Janney Montgomery Scott LLC Penn Mutual financial services 2005 CO-SEC $259,227
Miller Johnson Steichen Kinnard, Inc.   2005 DE-SEC $5,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
American Income Real Estate Investments, Inc.   2005 FL-OFR $54,598
Idaho Big Sky Telecom   2005 ID-SEC $240,000
Big West Telecom Corp.   2005 ID-SEC $160,000
Leader Capital Corp.   2005 ID-SEC $32,825
Ultimate Ventures, Inc.   2005 ID-SEC $2,771,378
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC   2005 ID-SEC $60,000
First Security Investor Services, Inc. and Van Kasper LLC   2005 ID-SEC $51,000
Arizona Idaho Mining, LLC   2005 ID-SEC $1,730,000
Hubadex, Inc.   2005 IL-SEC $50,000
Janas Associates   2005 IL-SEC $10,000
Golden Years Planning   2005 IL-SEC $10,000
Advisors Management Group, Inc.   2005 IL-SEC $5,200
Janney Montgomery Scott LLC Penn Mutual financial services 2005 IL-SEC $7,500
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2005 IL-SEC $10,000
Christian Dream Builder Financial Planning, Inc.   2005 IL-SEC $30,000
WCM Investment Management   2005 IL-SEC $12,500
G.D. Castillo M.D. Ltd. Profit Sharing Plan   2005 IL-SEC $5,000
R.J. Aubrey Investment Corp.   2005 IL-SEC $7,500
Manarin Securities Corp.   2005 IL-SEC $11,952
Berwick Black Cattle Co. and Source of Champions   2005 IL-SEC $20,000
Bikini Vending, Inc.   2005 IL-SEC $40,000
Millennium Associates   2005 IL-SEC $30,000
Van On State, LLC   2005 MD-SEC $15,000
Universal Financial Group   2005 MD-SEC $150,000
Financial Concepts, Inc.   2005 MD-SEC $8,000
Synvest, Inc.   2005 MD-SEC $38,924
Financial Sources, Inc.   2005 MD-SEC $25,000
Nelson Finance, Inc. et al.   2005 MD-SEC $1,500,000
Maxim Growth Fund, LP   2005 MD-SEC $100,000
Maxim Capital, LLC   2005 MD-SEC $100,000
M.A.C. Investments, Inc. and M.A.C. Investment Sales, Inc.   2005 MD-SEC $800,000
Daniel G. Falk & Associates, P.C.   2005 MD-SEC $68,800
Secured Financial Services, Inc.   2005 MD-SEC $17,500
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
L.H. Ross & Company, Inc.   2005 MD-SEC $10,000
Maryland Capital Advisors, Inc.   2005 MD-SEC $5,930
Profitable Investments, Inc.   2005 MD-SEC $5,795
Solutions Planning Group, Inc.   2005 MD-SEC $37,500
E-Commerce Network.com, LLC and Wealth Systems, Inc.   2005 MD-SEC $15,000
Wealth Management Institute, Ltd.   2005 MD-SEC $13,406
My Plan Management group, LLC   2005 MD-SEC $15,000
Bodell Overcash Anderson & Co., Inc.   2005 ME-SEC $10,538
Cornerstone Ministries Investments, Inc.   2005 MN-FIN $8,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2005 MN-FIN $2,000,000
Vertical Securities, LLC and Vertical Group, LLC   2005 MO-SEC $5,000
Professional Resource Network, LLC   2005 MO-SEC $15,000
Everen Securities, Inc. and First Union Securities, Inc.   2005 MO-SEC $300,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2005 MO-SEC $122,050
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
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.