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
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
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
Currency Trading Systems   2001 CFTC $1,521,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
TLC Investments & Trade Co.   2001 SEC $106,600,000
Commonwealth Communications Group   2001 SEC $716,516
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications Corporation, and Wireless Cable Television of Shreveport Limited Liability Company   2001 SEC $41,727,403
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc.   2001 SEC $9,395,066
World Financial & Investment Co., Inc.   2001 SEC $175,000
The Globus Group   2001 SEC $300,000
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
Pacific Air Transport   2001 SEC $1,364,692
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
One Touch Marketing, Inc.   2001 SEC $118,387
Sunset Investment Group, Inc.   2001 SEC $70,000
Future Strategies Srl a/k/a Future Strategies International   2001 SEC $1,500,073
Millennium Group of New York, LLC   2001 SEC $7,602
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
Western Asset Management Co. Franklin Resources financial services 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources financial services 2001 SEC $50,000
W.J. Nolan & Co.   2001 SEC $192,028
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
Oechsle International Advisors L.L.C.   2001 SEC $200,000
Hawthorne Associates, Inc.   2001 SEC $25,000
Sage Advisory Services LLC   2001 SEC $288,328
JPR Capital Corp.   2001 SEC $55,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2001 SEC $50,000
United Stock Transfer Inc.   2001 SEC $10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc.   2001 SEC $400,000
Joel R. Mogy Investment Counsel, Inc.?   2001 SEC $12,500
Business & Financial Advisors, Inc.   2001 SEC $128,817
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
Theglobe.com   2001 NY-AG $100,000
Waste Management, Inc. Waste Management Inc. waste management and environmental services 2001 CT-AG $457,000,000
Coastal Resources Corp.   2001 AK-DBS $50,000
Global Harvest Corp.   2001 AZ-SEC $20,000
Mobile Cash Systems, LLC et al.   2001 AZ-SEC $12,192,829
United Planners' Financial Services of America, A Limited Partnership   2001 AZ-SEC $79,000
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc.   2001 AZ-SEC $5,336,160
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Early Detection Centers Inc. and Johnathon Roberts, Inc.   2001 AZ-SEC $210,000
Why Not Entertainment, L.L.C.   2001 AZ-SEC $137,500
Hotel Connect, LLC et al.   2001 AZ-SEC $5,400,000
Investment Planners of America, Inc.   2001 AZ-SEC $25,000
Prosperity Investors Group   2001 AZ-SEC $303,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Integrity Assured Life Settlements, Inc.   2001 AZ-SEC $10,611
Steven S. Levine Chartered   2001 AZ-SEC $5,000
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
Profutura LLC   2001 AZ-SEC $6,215,350
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Janney Montgomery Scott, Inc. Penn Mutual financial services 2001 DE-SEC $210,909
Security Asset Management, Inc. and Security Asset Capital Corp.   2001 FL-OFR $20,000
LT Lawrence & Co., Inc.   2001 FL-OFR $20,000
Olde Discount Corp.   2001 FL-OFR $35,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
Trinity Investment Club Ltd.   2001 FL-OFR $5,000
Wall Street Financial Group, Inc.   2001 FL-OFR $10,000
Scanlon & Associates   2001 FL-OFR $25,000
Morgan Sterling Currency Exchange, Inc.   2001 ID-SEC $5,000
Agricultural Services of America, Inc. and Agricultural Investments of America, Inc.   2001 ID-SEC $649,882
Premier Marketing & Investments, Inc.   2001 ID-SEC $40,000
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.