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
Data Technology Group   2002 OR-FIN $15,000
Las Vegas 220 SMR   2002 OR-FIN $15,000
Westminster Holdings Ltd et al.   2002 OR-FIN $15,000
Taramar Venture Capital LLC et al.   2002 OR-FIN $55,000
Leading Solutions Inc.   2002 OR-FIN $20,000
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
Caffe Diva Group Ltd et al.   2002 OR-FIN $75,000
U.S. Securities Intl. Corp.   2002 OR-FIN $10,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Kleinheinz Capital Partners Inc.   2002 TX-SEC $60,000
IAC SECURITIES, INC.   2002 VA-SEC $20,000
BASIN OIL & GAS CORPORATION   2002 VA-SEC $5,500
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
ALPHACOM, INC.   2002 VA-SEC $20,000
SENIOR RETIREMENT SERVICES INC   2002 VA-SEC $125,250
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
Pacific West Securities, Inc.   2002 WA-FIN $130,000
Clairmont Capitol, Inc.   2002 WA-FIN $6,000
Boston Trading Advisors, LLC   2003 CFTC $10,000
Alliance Capital Management L.P. AXA financial services 2003 SEC $250,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 SEC $50,000,000
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $25,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Goldman Sachs Goldman Sachs financial services 2003 SEC $9,305,382
Massachusetts Financial Services Company Sun Life Financial financial services 2003 SEC $917,858
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Lehman Brothers, Inc. Lehman Brothers financial services 2003 SEC $2,500,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc.   2003 SEC $10,500,000
The Gaming Factory, Inc.   2003 SEC $2,100,102
Prudential Securities, Inc. Wells Fargo financial services 2003 SEC $382,000
Stratcomm Media Ltd.   2003 SEC $45,400,000
EyeCashNetworks, Inc. and Alliance Equities, Inc.   2003 SEC $688,230
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2003 SEC $110,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 SEC $80,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2003 SEC $200,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 SEC $32,500,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
North American Medical Products, Inc.   2003 SEC $120,000
TrendsGroup International, Inc.   2003 SEC $445,691
Rhino Advisors Inc.   2003 SEC $1,000,000
Africa Gemstone Corporation   2003 SEC $242,840
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
FT Interactive Data   2003 SEC $125,000
Brut, LLC   2003 SEC $45,000
Research Capital, LLC   2003 SEC $6,337
EquityAlert.com, Inc. and Innotech Corporation   2003 SEC $31,555
Mid-Ohio Securities Corp.   2003 SEC $25,000
Andover Brokerage, LLC   2003 SEC $151,876
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
Ascend Capital, LLC   2003 SEC $46,258
Jamison, Eaton & Wood, Inc.   2003 SEC $100,000
Baron Capital, Inc.   2003 SEC $2,000,000
Harvest Financial Corporation   2003 SEC $25,000
Alliance Capital Management AXA financial services 2003 NY-AG (*) $600,000,000
Saint Marketing, Inc.   2003 CO-AG $372,000
Lotus Management   2003 AK-DBS $50,000
Global Strategies Ltd.   2003 AK-DBS $50,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Scottsdale Financial Funding Group, LLC   2003 AZ-SEC $3,391,570
One Vision Children's Foundation, Inc.   2003 AZ-SEC $4,407,140
Bob's Cash Express, Inc. et al.   2003 AZ-SEC $693,320
Non-Stop Shopping.com, Inc. dba 2C2K.com, Inc.   2003 AZ-SEC $162,500
Martin & Griffin, LLC   2003 AZ-SEC $6,982,222
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C.   2003 AZ-SEC $945,025
Ocean International Marketing, Ltd et al.   2003 AZ-SEC $174,689
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
T.H.E. Financial Group, Ltd.   2003 FL-OFR $15,000
PRS Latam, LLC   2003 FL-OFR $5,000
FFP Securities, Inc.   2003 FL-OFR $20,000
WM Financial Services, Inc.   2003 FL-OFR $40,000
CGF Securities, LLC   2003 FL-OFR $7,500
Veravest Investments, Inc.   2003 FL-OFR $5,000
Avenue Capital Investment, Inc.   2003 ID-SEC $25,000
Galaxy Financial Services, Inc et al.   2003 ID-SEC $209,000
Lost Rivers Hospital District dba Lost Rivers Medical Center   2003 ID-SEC $5,000
Mortgage Underwriters, LLC   2003 ID-SEC $304,000
McDonald Investments, Inc.   2003 ID-SEC $25,000
SBU, Inc.   2003 IL-SEC $20,000
Palm Beach Investment Group, Inc.   2003 IL-SEC $10,000
Geneva Securities, Inc.   2003 IL-SEC $20,000
Pro-Matrix Technologies, L.L.C.   2003 IL-SEC $20,000
Genesis Worldwide, Inc.   2003 IL-SEC $30,000
Downline Builders International   2003 IL-SEC $20,000
Gold Capital Management, Inc.   2003 IL-SEC $7,500
Polite and Company   2003 IL-SEC $5,000
James L. Paris Financial Services, Inc.   2003 ME-SEC $6,000
Mortgage Group III, LLC   2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
Eastern Energy Corp.   2003 MN-FIN $8,000
CGF Securities, LLC   2003 MN-FIN $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 MT-SEC $2,625,000
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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.