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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
American Registrar & Transfer Company   2016 SEC $25,649
American River Capital, Inc. et al.   2009 MD-SEC $40,000
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Americus Home Loans, Inc.   2009 CO-SEC $400,000
AmeriFirst Management LLC   2014 CFTC $35,000,000
Ameriplan USA Corp.   2006 MT-SEC $200,000
Ameriprise Advisor Services Inc. Ameriprise Financial financial services 2009 RI-FIN $48,411
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2009 MULTI-FIN $720,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 NJ-AG $375,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 CA-DFPI $115,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MA-SEC $400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 MS-SEC $150,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2014 NH-BSR $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 NH-BSR $30,800
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 WA-FIN $55,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 FINRA $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 FINRA $750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $12,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Amerisave Mortgage Corporation AmeriSave Mortgage financial services 2013 MULTI-FIN $2,300,000
Ameritas Investment Company LLC Ameritas Mutual Holding Company financial services 2020 PA-BKG $100,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2014 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 FINRA $278,544
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2009 FINRA $100,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2021 SD-SEC $20,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Ameritrade Inc.   2007 TX-SEC $200,000
Ameritrade, Inc.   2009 DE-SEC $40,000
Ameritrade, Inc.   2004 FINRA $10,000,000
AmerUs Life Insurance Co. and American Investors Life Insurance Co.   2008 MN-AG $375,000
AMG Energy, LLC and R. Thomas?& Co., LLC   2017 SEC $150,000
AMMB Consultant Sendirian Berhad   2012 SEC $1,550,000
AMP Global Clearing LLC   2018 CFTC $100,000
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
AmSouth Investment Services Inc. Regions Financial financial services 2004 MULTI-FIN $225,000
AmSouth Investment Services, Inc. Regions Financial financial services 2004 MS-SEC $225,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Amvest Securities, Inc.   2006 IL-SEC $24,400
An L.A. Minute LLC   2020 SEC $100,000
Anabaptist Financial   2019 KY-FIN $5,500
Anamar Communications, Inc.   2002 SEC $136,917
Anchor Mortgage, LLC   2009 MD-SEC $120,000
Ancora Advisors LLC   2018 SEC $100,000
Anderson Heights Development LLC   2014 OR-FIN $12,000
Anderson-David & Associates, Inc.   2002 ID-SEC $12,000
Andover Brokerage, LLC   2003 SEC $151,876
Andrew Garrett Inc.   2010 CT-SEC $20,000
Andrew Garrett, Inc.   2006 MO-SEC $9,500
Andrew Garrett, Inc.   2008 MO-SEC $15,000
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
Angel Rose Energy, LLC   2012 KY-FIN $5,000
Angus Jackson, Inc.   2013 CFTC $2,800,000
Angus Partners LLC   2016 CFTC $250,000
Annett & Associates   2020 CO-SEC $7,000
ANS Enterprises, LLC   2014 NJ-BOS $453,138
Anthone Properties, LLC   2005 WA-FIN $60,000
Antipodean Advisors   2014 SEC $93,672
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
ANY TEST FRANCHISING, INC.   2013 VA-SEC $35,000
AOC Securities LLC   2019 SEC $250,000
AOV WI FI   2004 MD-SEC $10,000
Apex Fund Services (US), Inc.   2016 SEC $171,836
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
Apollo18 LLC   2018 PA-BKG $5,000
Appaloosa Management L.P.   2010 SEC $1,304,523
Apple Tree Investments, Inc.   2009 AR-SEC $50,000
Applied BioSciences Corp.   2020 SEC $25,000
Applied Digital Technologies, Inc.   2012 CA-DFPI $8,000,000
Applied Financial Group Inc.   2005 SEC $50,000
APT MotoVox Group Inc.   2014 SEC $25,000
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
AR Capital LLC   2019 SEC $53,000,000
Arab Global Commodities DMCC   2017 CFTC $300,000
ARB Trading Group LP   2020 CFTC $445,000
Arbor Capital Management, Inc.   2013 AK-DBS $5,000
Arcturus Corporation and Aschere Energy LLC   2017 SEC $15,500,000
Ardin Logistics, LLC   2007 MD-SEC $100,000
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.