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
Buckson Realty Brokerage, Inc.   2000 DE-SEC $39,934
Condor and Eagle, Inc., Contact Generation, Inc. and TCI   2000 FL-OFR $5,000
Baggy Stuff, Inc.   2000 FL-OFR $325,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc.   2000 FL-OFR $12,000
First Financial Planners, Inc. et al.   2000 FL-OFR $39,232
The Morgan Group   2000 FL-OFR $15,000
Morgan Carlton Financial Corp.   2000 FL-OFR $15,000
Morgan Commercial Private Investment Bankers   2000 FL-OFR $15,000
Offshore Financial Facilitiators   2000 FL-OFR $69,900
First Capital Services, Inc.   2000 FL-OFR $30,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Southern 2000, Inc.   2000 FL-OFR $50,000
Allen Financial Group, Inc.   2000 FL-OFR $50,000
International Currency Management, LLC   2000 ID-SEC $175,000
LinkNet, Inc. fka INFOLINK, Inc.   2000 ID-SEC $10,000
FSC Securities Corp.   2000 MN-FIN $5,000
First Securities USA, Inc.   2000 MN-FIN $6,000
Linsco Private Ledger Corp.   2000 ND-SEC $25,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Laser Vision Technologies Inc.   2000 OR-FIN $5,000
The Sheffield Group   2000 OR-FIN $25,000
The Rhodes Company   2000 OR-FIN $7,500
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
Prosper Trust   2000 OR-FIN $5,000
High Tech Travel Services Corporation   2000 OR-FIN $25,000
San Clemente Securities   2000 OR-FIN $10,000
Terra Nova Trading LLC   2000 TN-SEC $7,500
Westminster Securities Corporation   2000 TN-SEC $10,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
Mountain States Capital Inc.   2000 TX-SEC $30,000
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
The Reserve Fund   2000 TX-SEC $150,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Supertrade Securities Inc.   2000 TX-SEC $15,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
Providential Securities, Inc.   2000 FINRA $115,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2000 FINRA $200,000
Asensio & Company, Inc.   2000 FINRA $75,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2000 FINRA $97,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
R.D. White & Co., Inc.   2000 FINRA $500,000
WMA Securities, Inc.   2000 FINRA $125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
First Chicago Capital Markets, Inc.   2000 FINRA $4,420,000
John Nuveen & Co., Inc. TIAA financial services 2000 FINRA $6,630,000
Peacock, Hislop, Staley & Given, Inc.   2000 FINRA $539,117
Scott & Stringfellow, Inc.   2000 FINRA $393,263
First Union Securities, Inc. Wells Fargo financial services 2000 FINRA $350,000
Botta Trading, LLC   2000 FINRA $75,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services 2000 FINRA $200,000
Kemper Distributors, Inc. Kemper financial services 2000 FINRA $100,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
Wheat First Securities Inc.   2000 FINRA $7,730,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
Raymond James & Associates Inc. Raymond James Financial financial services 2000 FINRA $3,410,000
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
J.C. Bradford & Co.   2000 FINRA $536,000
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
Prudential Securities, Inc. Wells Fargo financial services 2000 FINRA $100,000
1-800DAYTRADE.COM, Inc.   2000 FINRA $25,000
Donnelly & Co., Inc.   2000 FINRA $17,500
LaSalle St. Securities, L.L.C.   2000 FINRA $13,000
Addison Securities, Inc.   2000 FINRA $37,500
Choice Investments, Inc.   2000 FINRA $27,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2000 FINRA $495,000
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.