Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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)
Company Parent Parent Major Industry Yearsort icon Agency Penalty Amount
First Southwest Company   2008 FINRA $300,000
WaMu Investments, Inc.   2008 FINRA $250,000
GunnAllen Financial, Inc.   2008 FINRA $750,000
American Fund Distributors   2008 FINRA $5,000,000
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
Pruco Securities Prudential Financial financial services 2008 FINRA $100,000
Merrill Lynch Bank of America financial services 2008 FINRA $250,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
SMH Capital Inc.   2008 FINRA $450,000
Broadpoint Capital, Inc.   2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
Lehman Brothers, Inc. Lehman Brothers financial services 2008 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2008 FINRA $200,000
Needham & Company, LLC   2008 FINRA $200,000
Robert W. Baird & Co., Inc.   2008 FINRA $200,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2008 FINRA $150,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
Cowen and Company, LLC   2008 FINRA $150,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services 2008 FINRA $150,000
Leerink Swann & Company, Inc.   2008 FINRA $150,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2008 FINRA $150,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
JMP Securities, LLC   2008 FINRA $50,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
Commercial Hedge Services, Inc.   2007 CFTC $325,000
FxTrade Financial, LLC   2007 CFTC $3,466,000
Millenium Trading Group, LLC   2007 CFTC $3,861,516
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Cromwell Financial Services, Inc.   2007 CFTC $18,400,000
International Currency Exchange, Inc.   2007 CFTC $1,650,000
Banque CIAL   2007 CFTC $80,000
Longboat Global Funds Management   2007 CFTC $10,317,183
New York Options Exchange, Tahoe Futures, International Energy Exchange, Vitol Capital Management,New York Petroleum Option Exchange, HPR Commodities, American Futures and Options Exchange, Metro Financials, and American Futures and Options Trading C   2007 CFTC $15,524,957
Interactive Brokers LLC Interactive Brokers Group financial services 2007 CFTC $175,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
American Energy Exchange and York Commodities   2007 CFTC $3,652,788
Liberty Financial Trading Corp., Inc. and Liberty Real Assets Investment Corporation   2007 CFTC $16,403,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   2007 CFTC $21,819,785
Man Financial Inc.   2007 CFTC $316,900
Premium Income Corp.   2007 CFTC $123,000,000
Acceleration Capital, LLC   2007 CFTC $218,000
Falco & Stevens, Inc.   2007 CFTC $4,724,607
ValueAct Capital Partners   2007 FTC $1,100,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
Iconix Brand Group Iconix Brand Group apparel 2007 DOJ_ANTITRUST $550,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd.   2007 SEC $1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC   2007 SEC $1,045,060
Microphase Corp.   2007 SEC $700,000
Sandell Asset Management Corp.   2007 SEC $8,097,494
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) financial services 2007 SEC $50,000,000
Regional Brokers, Inc.   2007 SEC $100,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
Sure Trace Security Corporation   2007 SEC $1,098,900
Commonwealth Equity Services, LLP   2007 SEC $250,000
Detwiler, Mitchell, Fenton & Graves, Inc.   2007 SEC $250,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Platforms Wireless International Corp.   2007 SEC $2,431,213
GLG Partners, L.P.   2007 SEC $3,203,639
Camden Consulting, Inc. and SKS Consulting, Inc.   2007 SEC $3,925,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Blue Bottle Limited   2007 SEC $10,846,785
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs financial services 2007 SEC $2,000,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC   2007 SEC $455,700
Crestview Capital Partners   2007 SEC $394,640
GetAnswers, Inc.   2007 SEC $15,713,676
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
20th Century Jackson Equities, Inc.   2007 SEC $470,269
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Park Financial Group, Inc.   2007 SEC $30,373
Founding Partners Capital Management Compan   2007 SEC $182,244
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Consulting Services Group, LLC   2007 SEC $20,000
MCL Financial Group, Inc.   2007 SEC $60,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2007 SEC $350,000
AllianceBernstein, L.P. Equitable Holdings financial services 2007 SEC $450,000
Intervoice   2007 SEC $942,628
D.M. Keck & Company, Inc.   2007 SEC $15,000
Financial Design Associates, Inc.   2007 SEC $300,000
Folger Nolan Fleming Douglas Capital Management, Inc.   2007 SEC $244,921
Haidar Capital Management, LLC   2007 SEC $4,580,000
GLG Partners, LP   2007 SEC $2,703,635
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
Amaranth Advisors L.L.C.   2007 SEC $716,819
Citigroup Global Markets, Inc. Citigroup financial services 2007 SEC $200,000
Tier One, Inc.   2007 SEC $85,500
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Imperium Advisors, LLC   2007 SEC $119,964
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.