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
Pro-Matrix Technologies, L.L.C.   2003 IL-SEC $20,000
Genesis Worldwide, Inc.   2003 IL-SEC $30,000
Downline Builders International   2003 IL-SEC $20,000
Gold Capital Management, Inc.   2003 IL-SEC $7,500
Polite and Company   2003 IL-SEC $5,000
James L. Paris Financial Services, Inc.   2003 ME-SEC $6,000
Mortgage Group III, LLC   2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
Eastern Energy Corp.   2003 MN-FIN $8,000
CGF Securities, LLC   2003 MN-FIN $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MT-SEC $2,625,000
MDVIP Inc.   2003 ND-SEC $5,000
US Petroleum LLC   2003 ND-SEC $14,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
CGF Securities LLC   2003 ND-SEC $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
GBS Funding   2003 OR-FIN $25,000
National Equipment Providers LLC   2003 OR-FIN $50,000
Spa Marketing LLC   2003 OR-FIN $50,000
Quality Financial Concepts   2003 TN-SEC $5,800
MONY Securities Corporation Equitable Holdings financial services 2003 TN-SEC $10,000
Cuso Equities Inc.   2003 TN-SEC $5,500
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Lone Star Securities Inc.   2003 TX-SEC $10,000
Laradorbecker Securities Corporation   2003 TX-SEC $5,000
Premier Group Inc.   2003 TX-SEC $5,000
Northstar Energy Inc.   2003 TX-SEC $75,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
WORLD ONLINE 247, INC.   2003 VA-SEC $31,500
Statewide Escrow   2003 WA-FIN $6,500
Success Concepts Enterprises, Inc. and World Business Consultants, Inc.   2003 WA-FIN $5,000
LDS Securities, LLC   2003 WA-FIN $20,000
Private Lender Funding, Inc. and The Moyer Company   2003 WA-FIN $12,500
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Citigroup Global Markets Inc. Citigroup financial services 2003 MULTI-FIN (*) $150,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 MULTI-FIN (*) $75,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 MULTI-FIN (*) $25,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2003 MULTI-FIN (*) $25,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MULTI-FIN (*) $12,500,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
Metropolitan Investment Securities, Inc.   2003 FINRA $4,300,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA (*) $50,000,000
Wells Investment Securities, Inc.   2003 FINRA $150,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA $2,000,000
Altegris Investments, Inc.   2003 FINRA $175,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2003 FINRA $6,000,000
Robertson Stephens, Inc. Bank of America financial services 2003 FINRA (*) $14,000,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
Anamar Communications, Inc.   2002 SEC $136,917
Basic Capital Management, Inc.   2002 SEC $850,000
Texon Energy Corp. and Lonestar Petroleum Corp.   2002 SEC $1,268,253
W.J. Nolan & Co., Inc.   2002 SEC $192,028
Advance Local Development Corp.   2002 SEC $9,509,736
Commercial Express, LLC and Progressive Financial, Inc.   2002 SEC $23,032,869
Big Country AGS, Inc. d/b/a AGS, Inc.   2002 SEC $242,840
iCapital Markets LLC   2002 SEC $6,300,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Gemisys Corporation   2002 SEC $15,000
Millenium Capital Advisors of Pennsylvania, Inc   2002 SEC $50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC   2002 SEC $175,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Renberg Capital Management, Inc.   2002 SEC $40,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Portfolio Advisory Services, LLC   2002 SEC $50,000
Performance Analytics, Inc.   2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2002 SEC $75,000
Lone Star Transfer, Inc.   2002 SEC $10,000
ND Money Management, Inc.   2002 SEC $10,000
RansonCapital Corporation   2002 SEC $10,000
Roundhill Securities, Inc.   2002 SEC $100,000
Stan D. Kiefer & Associates   2002 SEC $10,000
Delta Equity Services Corporation   2002 SEC $45,000
Norwest Investment Services, Inc. Wells Fargo financial services 2002 SEC $153,245
Pryor, McClendon, Counts & Co., Inc.   2002 SEC $40,000
BNB Capital, Inc.   2002 SEC $5,000
Merrimac Advisors Company   2002 SEC $50,000
Bear Stearns & Co. LLC JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
Credit Suisse First Boston Corp. Credit Suisse financial services 2002 MULTI-AG (*) $200,000,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
Goldman Sachs Goldman Sachs financial services 2002 MULTI-AG (*) $110,000,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2002 MULTI-AG (*) $80,000,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Merrill Lynch Bank of America financial services 2002 NY-AG $100,000,000
Merrill Lynch & Co. Inc. Bank of America financial services 2002 MULTI-AG (*) $100,000,000
Morgan Stanley Morgan Stanley financial services 2002 MULTI-AG (*) $125,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
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.