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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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 (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
VOS Capital Management, LLC   2020 CFTC $3,813,875
Vollero Beach Capital Partners   2013 SEC $864,427
Voice, Video & Data Services, Inc.   2008 KY-FIN $10,000
Vocelli, LLC   2013 MD-SEC $5,000
Vlad Investments, LLC   2011 WA-FIN $6,350
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Visium Asset Management LP   2018 SEC $10,120,711
VisionPoint Advisory Group, LLC   2017 SEC $45,000
Visionary Sports Entertainment, Inc.   2009 CO-SEC $92,307
Visionary Group Holdings, Inc.   2011 CA-DFPI $1,285,750
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
Vision Technologies, Inc.   2014 AR-SEC $8,000
Vision Securities, Inc.   2006 CT-SEC $15,000
Vision Financial Partners, LLC   2017 CFTC $6,527,130
Vision Financial Markets LLC   2013 CFTC $525,000
Vision Financial Markets LLC   2013 CFTC $140,000
Vision Financial Markets LLC   2019 CFTC $200,000
Virtus Investment Advisers, Inc.   2015 SEC $16,500,000
Virtual Vision Inc.   2012 CFTC $1,000,000
Virtual Mining Corp. and Active Mining Corp.   2015 MO-SEC $43,115
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Virginia Commercial Capital Corp.   2012 IL-SEC $18,500
VipBinary.com et al.   2012 MD-SEC $25,000
Vining Sparks IBG, L.P.   2010 CT-SEC $20,000
Vinci Partners Investimentos   2014 SEC $448,707
Victory H2O Distribution, LLC   2017 MI-SEC $30,000
Victory Asset   2018 CFTC $1,800,000
Victoire Finance Capital LLC   2008 SEC $215,631
Viatical Center, Inc.   2002 AZ-SEC $12,500
VI Capital Management, LLC   2018 WA-FIN $12,500
VFRS LLC   2013 CFTC $3,200,000
vFinance Investments, Inc.   2008 SEC $26,559
vFinance Investments, Inc.   2005 SEC $50,000
VFG, LLC fka Voyager Financial Group, LLC   2014 FL-OFR $60,000
Veteri Place Corp.   2018 SEC $75,000
Vestreon Funding, L.L.C.   2006 IL-SEC $10,000
Vespers, LLC   2012 HI-SEC $230,000
Verto Capital Management LLC   2018 SEC $620,594
Verto Capital Management   2017 SEC $4,158,517
Vertical Securities, LLC and Vertical Group, LLC   2005 MO-SEC $5,000
Vertical Integration Group LLC dba Churchill Clearing Corp.   2014 FL-OFR $550,000
Vertical Integration Group LLC   2014 CFTC $3,120,688
Vertical Capital Partners, Inc.   2007 SEC $490,432
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
VERITRAX CORPORATION   2011 VA-SEC $1,550,000
Vericorp, Inc.   2012 CA-DFPI $8,200,000
Vereit, Inc. VEREIT Inc. real estate 2020 SEC $8,000,000
Veravest Investments, Inc.   2003 FL-OFR $5,000
Veras Investment Partners, LLC   2005 CFTC $500,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Venulum Ltd.   2013 SC-SEC $5,500
Venture Capital Investments LLC   2020 CFTC $900,604
Venture Capital Holdings LLC   2006 SEC $4,808,953
Velocity Futures, LLC   2013 CFTC $300,000
Velocity Futures, LLC   2011 CFTC $180,000
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
VCAP Securities   2015 SEC $1,477,332
VC Direct Solutions   2013 ME-SEC $8,000
Vault Options, Ltd. and Global Trader 365   2016 CFTC $4,587,371
Vasquez Global Investments, LLC   2014 CFTC $1,326,224
Vasilios Community Development Corporation   2016 VA-SEC $250,000
Vasari Energy Inc.   2017 PA-BKG $7,500
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Vandham Securities Corp.   2019 SEC $200,000
Vanderbilt Capital Advisors LLC   2002 SEC $125,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Van On State, LLC   2005 MD-SEC $15,000
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
Valuepoint Partners, Inc.   2012 MO-SEC $5,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct   2016 DOJ_ANTITRUST $11,000,000
Value Line Inc.   2009 SEC $43,705,765
Valor Capital Asset Management, LLC   2018 SEC $715,871
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
Valkyrie, Inc.   2009 WA-FIN $10,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
VALIANT HEALTH CARE, INC.   2012 VA-SEC $92,528
Valentine Capital Asset Management, Inc.?   2010 SEC $432,007
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
V Wealth Advisers, LLC   2020 MO-SEC $7,500
UVEST Financial Services Group, Inc. LPL Financial financial services 2013 MULTI-FIN $750,000
USI-Tech Limited   2020 SC-SEC $50,000
Used Apple Store   2016 NH-BSR $5,713
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
US Petroleum LLC   2003 ND-SEC $14,000
US Mega Corporation et al.   2006 MD-SEC $195,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Business Brokers, Inc.   2015 IL-SEC $15,000
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
Urban Traffic   2019 WA-FIN $35,000
URBAN BAR-B-QUE COMPANY   2014 VA-SEC $5,000
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.