Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
Prosper Trust   2000 OR-FIN $5,000
Prospera Financial Services Inc.   2006 TX-SEC $5,000
Prospera Financial Services, Inc.   2016 SEC $100,000
Prospera Financial Services, Inc.   2000 SEC $40,000
Prosperity Economics Partners LLC and Partners for Prosperity LLC   2021 SEC $275,000
Prosperity Investors Group   2001 AZ-SEC $303,000
Prosperity Team, LLC   2012 CFTC $2,600,000
Protege Financial & Insurance Service, Inc. et al.   2014 CA-DFPI $38,200,000
Protrader Securities Corporation   2001 TX-SEC $20,000
Provident Capital Management Inc.   2017 TX-SEC $8,000
Provident Capital Management, Inc.   2011 IN-SEC $7,500
Providential Securities, Inc.   2000 FINRA $115,000
Provise Management Group, LLC   2019 SEC $297,423
PRS Latam, LLC   2003 FL-OFR $5,000
Pruco Securities Prudential Financial financial services 2008 FINRA $100,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Pruco Securities, LLC Prudential Financial financial services 2006 NE-DBF $12,500
Pruco Securities, LLC Prudential Financial financial services 2013 NJ-BOS $100,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
Pruco Securities, LLC Prudential Financial financial services 2012 FINRA $11,250,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services 2016 FINRA $950,000
Prudential Equity Group Prudential Financial financial services 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial financial services 2006 NY-AG (*) $270,000,000
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
Prudential Equity Group LLC Prudential Financial financial services 2004 FINRA $550,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services 2004 FINRA $11,500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
Prudential Equity Group, LLC Prudential Financial financial services 2004 FINRA $17,306
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Prudential Investments, LLC   2009 MD-SEC $20,712
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
Prudential Securities Incorporated Wells Fargo financial services 2001 FINRA $20,000
Prudential Securities, Inc. Wells Fargo financial services 2003 SEC $382,000
Prudential Securities, Inc. Wells Fargo financial services 2001 FINRA $10,000
Prudential Securities, Inc. Wells Fargo financial services 2000 FINRA $100,000
Pryor, McClendon, Counts & Co., Inc.   2002 SEC $40,000
PSA Equities, Inc. and PSA Financial Advisors, Inc.   2008 MD-SEC $60,000
PTI Securities & Futures L.P.   2017 TX-SEC $5,000
Public Communication Services, Inc. aka Sprawlnet.com, Inc.   2004 IL-SEC $20,000
Pulse Trading, Inc.   2004 FINRA $20,000
Pure Reason LLC   2015 CFTC $140,000
Pureinvestor.com Inc.   2005 AK-DBS $75,000
PureInvestor.com, Inc. and PIPS Inc. and PIC Trust Ltd.   2005 MO-SEC $20,800
Puritan Securities Inc.   2008 MN-FIN $12,000
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Pursol Solar System, Inc.   2012 CA-DFPI $2,905,201
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2007 SEC $350,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Putnam Retail Management Limited Partnership Power Financial Corporation financial services 2007 FINRA $175,000
PV Wealth Advisors, LLC   2021 WI-FIN $204,737
Pyramid Screening Technology, Inc.   2019 CA-DFPI $38,000
Q Wealth Management Inc.   2013 CFTC $5,000,000
QA3 Financial Corporation   2010 NE-DBF $22,500
QBITI, LLC   2018 IL-SEC $20,000
QFC Consulting, Inc.   2013 FL-OFR $60,000
Quad City Investment Advisors, LLC   2011 IL-SEC $23,000
Quadra Pay Inc. and Quadra Pay Land LLC   2009 TN-SEC $5,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MD-SEC $72,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MS-SEC $25,000
Quadrangle Group LLC   2010 NY-AG $7,000,000
Quality Financial Concepts   2003 TN-SEC $5,800
Quantitative Asset Management LLC   2021 SEC $25,000
Quantlab Securities, L.P.   2004 FINRA $12,500
Quantum Biomod Corp.   2009 IL-SEC $50,000
Quantum Business Golf International, Inc. et al.   2016 MO-SEC $10,000
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Quarve Associates, LLC   2019 CT-SEC $7,500
Quattro Advisors LLC   2013 PA-BKG $10,000
Queen Shoals Consultants, LLC   2014 CFTC $5,760,000
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC   2011 CFTC $24,000,000
Questar Asset Management, Inc.   2019 SEC $527,566
Questar Capital Corp.   2008 KY-FIN $54,668
Questar Capital Corp.   2009 KY-FIN $6,250
Questar Capital Corporation   2017 ND-SEC $150,000
Quick & Reilly, Inc.   2005 FINRA $570,000
Quick & Reilly, Inc.   2004 FINRA $125,000
Quinn Financial Partners LLC   2013 TN-SEC $15,000
Quint Wealth Management, Inc.   2020 CT-BKG $5,000
Quint Wealth Management, Inc.   2020 CT-SEC $5,000
Quizno's Franchising LLC and Quizno's Franchising II LLC   2006 MD-SEC $5,000
Quogue Capital LLC   2008 SEC $390,000
Quogue Capital LLC   2008 SEC $944,056
QVG, LLC   2019 AR-SEC $8,000
R.A.M. Developments, LLC   2008 MO-SEC $25,000
R.C. Transport, Inc. and General Investments, LLC   2012 MO-SEC $260,373
R.C. Transport, LLC   2008 MO-SEC $11,563
R.D. White & Co., Inc.   2000 FINRA $500,000
R.J. Aubrey Investment Corp.   2005 IL-SEC $7,500
R.J. O'Brien & Associates LLC   2013 CFTC $125,000
R.J. O'Brien & Associates LLC   2018 CFTC $600,000
R.J. O'Brien & Associates, LLC   2013 CFTC $300,000
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.