Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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.
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Company Parent Parent Major Industry Yearsort icon Agency Penalty Amount
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 Jaffray 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
Hylton Enterprises, Inc. et al.   2002 AZ-SEC $242,554
Creative Financial Funding, L.L.C. et al.   2002 AZ-SEC $7,947,777
William R. Evans Chartered   2002 AZ-SEC $5,000
Viatical Center, Inc.   2002 AZ-SEC $12,500
Beneficial Assistance   2002 AZ-SEC $5,000
The Chamber Group, Inc.   2002 AZ-SEC $16,342,404
American Insurance Services, L.L.C.   2002 AZ-SEC $810,300
21st Century Satellite Communications, Inc.   2002 AZ-SEC $267,000
Intermarc Marketing and Cashflows   2002 AZ-SEC $22,750
Pre-IPO Venture Capital Fund, L.L.C.   2002 AZ-SEC $525,000
Glenn A. Libertore Financial Services   2002 AZ-SEC $33,460
Republic Cash Advance, Inc. and Quick Cash Advance, Inc.   2002 AZ-SEC $6,348,492
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Eternal Presence, Inc.   2002 AZ-SEC $58,780
Netgo, Inc. and SDIC Partnership and Camelback, Ltd.   2002 AZ-SEC $10,000
Estate Conservation Strategies, Inc.   2002 AZ-SEC $5,000
M-Corp International, Ltd. and M-Corp International   2002 AZ-SEC $30,000
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Meracana Mining Corp.   2002 AZ-SEC $151,439
Green Screen Partners, LLC et al.   2002 CA-DBO $18,592,430
Hale Associates, Inc.   2002 DE-SEC $551,000
Suncoast Financial Services Of North American, Inc.   2002 FL-OFR $635,000
Sterling Associates   2002 FL-OFR $5,000
Sunset Financial Services, Inc.   2002 FL-OFR $21,000
United Securities Alliance, Inc.   2002 FL-OFR $10,000
D. Dean Hooley, II & Associates   2002 FL-OFR $15,000
C.J.M. Planning Corp.   2002 FL-OFR $5,000
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
Rushmore Securities Corp.   2002 FL-OFR $5,000
Hornor, Townsend & Kent, Inc.   2002 FL-OFR $25,000
ICMA-RC Services, LLC   2002 FL-OFR $5,000
Todderwatch.com, Inc.   2002 FL-OFR $25,000
Insurance and Financial Brokers, Inc.   2002 FL-OFR $10,000
Cantella & Co., Inc.   2002 FL-OFR $50,000
Glenn Haven Enterprises   2002 FL-OFR $7,500
International Securities Corp.   2002 FL-OFR $5,000
Triad Advisors, Inc.   2002 FL-OFR $5,000
Strategic Strategies, Inc.   2002 FL-OFR $40,000
U.S. Investors Group, Inc.   2002 FL-OFR $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2002 FL-OFR $14,938
NGS Trust   2002 ID-SEC $87,750
Anderson-David & Associates, Inc.   2002 ID-SEC $12,000
PrimeBuy Network.Com, Inc.   2002 ID-SEC $55,000
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2002 MN-FIN $5,000
Williamson Poultry Farms, Inc.   2002 MS-SEC $5,000
First Montauk Securities Corporation   2002 ND-SEC $7,000
Carret Securities LLC   2002 ND-SEC $29,000
American Capital Corporation   2002 ND-SEC $8,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2002 NE-DBF $5,000
Kinetics Mutual Funds Inc.   2002 NE-DBF $6,547
Merrill Lynch Bank of America financial services 2002 NH-BSR $500,000
Tyco International Ltd. Johnson Controls automotive parts 2002 NH-BSR $5,100,000
B&B Worm Farm   2002 OK-SEC $16,400
Data Technology Group   2002 OR-FIN $15,000
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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.