Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Company Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
Triton EP, LLC   2006 AL-SEC $10,000
Divine Capital Markets, LLC   2006 AL-SEC $5,241
WSK Energy, L.L.C.   2006 AZ-SEC $5,000
Opulent Properties LLC et al.   2006 AZ-SEC $600,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Southwest Trust & Financial   2006 AZ-SEC $425,000
National Estate Planning Service and Planning and Senior Advisory Services   2006 AZ-SEC $635,000
Cornerstone Senior Planning   2006 AZ-SEC $545,000
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Butterworth Advisory Services and Senior Advisory Services   2006 AZ-SEC $285,000
Precision Model & Design, Inc. et al.   2006 AZ-SEC $818,000
Parklane International Corp.   2006 AZ-SEC $20,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Derivium Capital, LLC   2006 CA-DBO $750,000
Whitcraft Capital Management, Inc.   2006 CA-DBO $45,000
National Investment Consultants, Inc. and Pacific Best Group Ltd.   2006 CA-DBO $2,021,500
Capstone Investments   2006 CA-DBO $50,000
Bancroft Ventures Ltd.   2006 CA-DBO $14,300,000
Graybar Electric Company, Inc. Graybar Electric wholesalers 2006 CA-DBO $45,000
Black Diamond Research, LLC   2006 CT-SEC $10,900
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
PIPS Inc.   2006 CT-SEC $100,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Digital Entertainment Corp.   2006 CT-SEC $20,000
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Vision Securities, Inc.   2006 CT-SEC $15,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
The Huntington Investment Co.   2006 CT-SEC $13,150
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
International Vacations, Ltd.   2006 CT-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
PFS Investments, Inc.   2006 FL-OFR $5,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 ID-SEC $415,000
First Wall Street Corp.   2006 ID-SEC $52,221
Terra Energy Investment Fund 1 L.L.C.   2006 IL-SEC $10,000
Vestreon Funding, L.L.C.   2006 IL-SEC $10,000
Harvest Financial Corp.   2006 IL-SEC $17,600
Stralem & Company, Inc.   2006 IL-SEC $5,000
Hardy Asset Management   2006 IL-SEC $25,000
Erudite Systems, Inc. et al.   2006 IL-SEC $20,000
Allen Company of Florida, Inc.   2006 IL-SEC $9,250
Edelman Financial Services LLC   2006 IL-SEC $5,700
Amvest Securities, Inc.   2006 IL-SEC $24,400
Western Growers Financial Services, Inc.   2006 IL-SEC $5,250
Z Touch Systems, Inc.   2006 IL-SEC $5,000
Flatlander Industries, Inc.   2006 IL-SEC $9,135
Paez Real Estate Funding   2006 IL-SEC $5,462
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Kingdom Oil, Inc.   2006 KY-FIN $5,000
Intersecurities, Inc.   2006 MD-SEC $364,811
Infinity Financial Investment Corp. and Wallstreet-Analysis Investments   2006 MD-SEC $35,000
US Mega Corporation et al.   2006 MD-SEC $195,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MD-SEC $72,000
Checkmake Financial, Inc.   2006 MD-SEC $40,000
Quizno's Franchising LLC and Quizno's Franchising II LLC   2006 MD-SEC $5,000
Dr. eBill.com, Inc.   2006 MD-SEC $30,000
GNC Franchising, LLC   2006 MD-SEC $100,000
Main Street Estate Group, Inc.   2006 MD-SEC $161,621
Medwell Group, Inc.   2006 MD-SEC $25,000
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
Woso Energy Corporation   2006 ME-SEC $6,000
Matrix Petroleum, Inc.   2006 ME-SEC $24,000
Wireless Worldwide Connections, LLC, IX   2006 MN-FIN $5,130
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 MO-SEC $172,161
Andrew Garrett, Inc.   2006 MO-SEC $9,500
Emerging Technologies Development Co. and Emerging Technologies Investment Group, L.L.C.   2006 MO-SEC $110,845
CoreFunds, Inc.   2006 MO-SEC $11,040
Easterday Exploration, Inc.   2006 MO-SEC $5,000
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Krystal Energy Corp.   2006 MO-SEC $18,000
King's Country Music Show   2006 MO-SEC $10,000
Omni Media & Entertainment, Inc.   2006 MO-SEC $5,000
Petro-America Producing Oil and Gas Wells, Inc.   2006 MO-SEC $5,652
Son & Carter, Inc.   2006 MO-SEC $50,000
Goldline International, Inc.   2006 MO-SEC $39,370
The Planning Group, Inc. dba Asset Strategies, Inc.   2006 MO-SEC $56,850
Paseo Biofuels, LLC   2006 MO-SEC $23,692
Great River Soy Processing Cooperative   2006 MO-SEC $15,037
World Group Securities, Inc. Aegon financial services 2006 MO-SEC $228,600
Canady Holdings, Inc.   2006 MO-SEC $8,267
Consumer Concepts Investments, Inc.   2006 MS-SEC $15,000
Crossroads Media, Inc.   2006 MS-SEC $25,000
MetLife Securities, Inc. MetLife financial services 2006 MS-SEC $50,000
Positive News Increase, Inc.   2006 MS-SEC $25,000
Mowdy Financial, LLC   2006 MS-SEC $10,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MS-SEC $25,000
Summit Brokerage Services, Inc.   2006 MT-SEC $198,020
Ryan Beck & Co. and Ryan Beck Life Agency, Inc.   2006 MT-SEC $150,000
Piper Jaffray & Co. Piper Jaffray financial services 2006 MT-SEC $345,000
Ameriplan USA Corp.   2006 MT-SEC $200,000
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
I2U Inc.   2006 ND-SEC $150,000
Piper Jaffray & Co. Piper Jaffray financial services 2006 ND-SEC $17,204
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
Download results as CSV or XML
(*): 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.