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
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
United Energy, Inc.   2004 CFTC $20,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
International Financial Services (New York) LLC   2004 CFTC $100,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Olam International Limited Olam International agribusiness 2004 CFTC $20,000
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
PanaMed Corp.   2004 SEC $5,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
First Command Financial Planning, Inc.   2004 SEC $12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
Fremont Investment Advisors   2004 SEC $4,146,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco financial services 2004 SEC $325,000,000
RS Investment Management L.P.   2004 SEC $25,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
Bridgeway Capital Management   2004 SEC $5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
National Institute Companies of America, Inc.   2004 SEC $1,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
ACI Inc.   2004 SEC $7,756,750
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
Needham & Company, Inc.   2004 SEC $700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Inviva Inc.   2004 SEC $5,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Franklin Advisers, Inc. Franklin Resources financial services 2004 SEC $50,000,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Performance Specialist Group LLC   2004 SEC $2,171,932
SIG Specialists, Inc.   2004 SEC $3,033,589
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
LNB Bancorp, Inc.   2004 SEC $100,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
CDH & Affiliates, Inc.   2004 SEC $4,317,616
Security Trust Company, N.A.   2004 SEC $1,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Fleet Specialist, Inc.   2004 SEC $59,097,469
LaBranche & Co., LLC   2004 SEC $63,518,760
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Ace Payday Plus, LLC   2004 SEC $1,842,133
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
H.D. Vest Investment Securities, Inc.   2004 SEC $725,216
Legg Mason Wood Walker, Inc. Franklin Resources financial services 2004 SEC $2,315,467
Linsco/Private Ledger Corp.   2004 SEC $2,232,805
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 SEC $225,000,000
Groh Asset Management, Inc.   2004 SEC $45,000
Kiely Financial Services, Inc.   2004 SEC $154,256
Rudney Associates, Inc.   2004 SEC $62,330
Taglich Brothers, Inc.   2004 SEC $50,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
JC Management, Inc.   2004 SEC $27,991
Connecticut Capital Markets, L.L.C.   2004 SEC $259,110
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Fidelity National Capital Investors, Inc.   2004 SEC $125,000
Freedom Financial, Inc.   2004 SEC $25,000
David Lerner Associates, Inc.   2004 SEC $50,000
Nevis Capital Management, LLC   2004 SEC $1,700,000
Hard Asset Management, Inc.   2004 SEC $62,439
Celebrity Resorts and Casinos, Inc.   2004 SEC $347,250
Research Investment Group, Inc.   2004 SEC $24,721
AIM Advisors Invesco financial services 2004 MULTI-AG (*) $125,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
FleetBoston Financial Corp. Bank of America financial services 2004 NY-AG (*) $300,000,000
Forstmann Little & Co.   2004 CT-AG $16,200,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Invesco Funds Group Invesco financial services 2004 MULTI-AG (*) $325,000,000
Inviva, Inc.   2004 NY-AG $5,000,000
Janus Capital Management Janus Henderson financial services 2004 MULTI-AG $225,000,000
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.