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
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
C & D MANAGEMENT COMPANY   2008 VA-SEC $15,000
McKean County 3 Well, LLP,   2008 VA-SEC $10,000
L-O-T Development Wells, LLP   2008 VA-SEC $20,000
enTerra Seven, LLP   2008 VA-SEC $20,000
KAT-5-2, LLP   2008 VA-SEC $20,000
KAT-5, LLP   2008 VA-SEC $30,000
Great Oklahoma Oil Deal, LLP   2008 VA-SEC $50,000
Pennsylvania 3 Well Development, LLP   2008 VA-SEC $105,000
ENTERRA ENERGY, LLC   2008 VA-SEC $255,000
SAXBY'S COFFEE, INC.   2008 VA-SEC $14,000
BEYOND JUICE, INC.   2008 VA-SEC $150,000
H. BECK, INC.   2008 VA-SEC $60,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
FIRM GRIP BUSINESS MANAGEMENT   2008 VA-SEC $70,000
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
GREYSTONE CAPITAL   2008 VA-SEC $15,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers   2008 VA-SEC $10,000
CHANCELLORSVILLE FINANCING   2008 VA-SEC $140,000
DECKER EQUITIES, LP   2008 VA-SEC $205,000
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE   2008 VA-SEC $10,000
Peruvian Resources Management USA, LLC   2008 WA-FIN $39,791
James F. Reitan CFP LLC   2008 WA-FIN $5,000
Wortham Oil & Gas Enterprises, LLC   2008 WA-FIN $5,000
Wortham Oil & Gas   2008 WA-FIN $5,000
WOGE/WOG Ellison Well #1 Joint Venture   2008 WA-FIN $5,000
CMHCEH, LLC   2008 WA-FIN $5,000
M & W Charitable Foundation et al.   2008 WA-FIN $52,000
American Fiber Green Products, Inc.   2008 WA-FIN $5,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Goldman Sachs Goldman Sachs financial services 2008 MULTI-FIN (*) $22,500,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-FIN (*) $25,000,000
Merrill Lynch Bank of America financial services 2008 MULTI-FIN (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2008 MULTI-FIN (*) $35,000,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
UBS Securities LLC and UBS Financial Services Inc. UBS financial services 2008 MULTI-FIN (*) $150,000,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
TradeStation Securities, Inc.   2008 FINRA $750,000
E-Trade Securities, LLC Morgan Stanley financial services 2008 FINRA $500,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $350,000
Citigroup Global Markets, Inc. Citigroup financial services 2008 FINRA $300,000
J.P. Turner & Company, LLC   2008 FINRA $250,000
City National Securities   2008 FINRA $315,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
Harris Investor Services, Inc.   2008 FINRA $150,000
Banorte Securities International, Ltd.   2008 FINRA $1,100,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2008 FINRA $1,650,000
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $300,000
First Southwest Company   2008 FINRA $300,000
WaMu Investments, Inc.   2008 FINRA $250,000
GunnAllen Financial, Inc.   2008 FINRA $750,000
American Fund Distributors   2008 FINRA $5,000,000
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
Pruco Securities Prudential Financial financial services 2008 FINRA $100,000
Merrill Lynch Bank of America financial services 2008 FINRA $250,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
SMH Capital Inc.   2008 FINRA $450,000
Broadpoint Capital, Inc.   2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
Lehman Brothers, Inc. Lehman Brothers financial services 2008 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2008 FINRA $200,000
Needham & Company, LLC   2008 FINRA $200,000
Robert W. Baird & Co., Inc.   2008 FINRA $200,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2008 FINRA $150,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
Cowen and Company, LLC   2008 FINRA $150,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services 2008 FINRA $150,000
Leerink Swann & Company, Inc.   2008 FINRA $150,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2008 FINRA $150,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
JMP Securities, LLC   2008 FINRA $50,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
American Derivatives Corp. (ADC), Brokerage Management Corp.,   2009 CFTC $6,750,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Cadent Financial Services LLC   2009 CFTC $120,000
Saxon Financial Services Inc.   2009 CFTC $4,300,000
Princeton Global Management Ltd. and Princeton Economics International Ltd.   2009 CFTC $27,000,000
Safevest LLC   2009 CFTC $25,000,000
Cocoon Trade, Inc   2009 CFTC $1,542,787
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2009 CFTC $200,000
Walsh Trading Inc.   2009 CFTC $50,000
Renaissance Asset Management LLC   2009 CFTC $5,800,000
ICAP plc CME Group financial services 2009 SEC $25,000,000
Compass Capital Group, Inc.   2009 SEC $800,000
Concorde America, Inc.   2009 SEC $841,175
GMC Holding Corporation   2009 SEC $2,090,000
Value Line Inc.   2009 SEC $43,705,765
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(*): 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.