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
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 MT-SEC $2,625,000
MDVIP Inc.   2003 ND-SEC $5,000
US Petroleum LLC   2003 ND-SEC $14,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
CGF Securities LLC   2003 ND-SEC $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
GBS Funding   2003 OR-FIN $25,000
National Equipment Providers LLC   2003 OR-FIN $50,000
Spa Marketing LLC   2003 OR-FIN $50,000
Quality Financial Concepts   2003 TN-SEC $5,800
MONY Securities Corporation AXA financial services 2003 TN-SEC $10,000
Cuso Equities Inc.   2003 TN-SEC $5,500
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Lone Star Securities Inc.   2003 TX-SEC $10,000
Laradorbecker Securities Corporation   2003 TX-SEC $5,000
Premier Group Inc.   2003 TX-SEC $5,000
Northstar Energy Inc.   2003 TX-SEC $75,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
WORLD ONLINE 247, INC.   2003 VA-SEC $31,500
Statewide Escrow   2003 WA-FIN $6,500
Success Concepts Enterprises, Inc. and World Business Consultants, Inc.   2003 WA-FIN $5,000
LDS Securities, LLC   2003 WA-FIN $20,000
Private Lender Funding, Inc. and The Moyer Company   2003 WA-FIN $12,500
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Citigroup Global Markets Inc. Citigroup financial services 2003 MULTI-FIN (*) $150,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 MULTI-FIN (*) $75,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 MULTI-FIN (*) $25,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2003 MULTI-FIN (*) $25,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 MULTI-FIN (*) $12,500,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
E Net Speculation Ltd.   2004 CFTC $50,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Fimat International Banque SA   2004 CFTC $25,000
Refco Overseas Limited   2004 CFTC $25,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
United Energy, Inc.   2004 CFTC $20,000
Western Gas Resources, Inc.   2004 CFTC $7,000,000
International Financial Services (New York) LLC   2004 CFTC $100,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Olam International Limited   2004 CFTC $20,000
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
PanaMed Corp.   2004 SEC $5,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
First Command Financial Planning, Inc.   2004 SEC $12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
Fremont Investment Advisors   2004 SEC $4,146,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco financial services 2004 SEC $325,000,000
RS Investment Management L.P.   2004 SEC $25,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
Bridgeway Capital Management   2004 SEC $5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
National Institute Companies of America, Inc.   2004 SEC $1,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
ACI Inc.   2004 SEC $7,756,750
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
Needham & Company, Inc.   2004 SEC $700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Inviva Inc.   2004 SEC $5,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Franklin Advisers, Inc. Franklin Resources financial services 2004 SEC $50,000,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
Performance Specialist Group LLC   2004 SEC $2,171,932
SIG Specialists, Inc.   2004 SEC $3,033,589
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices   2004 SEC $1,431,369
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
LNB Bancorp, Inc.   2004 SEC $100,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
CDH & Affiliates, Inc.   2004 SEC $4,317,616
Security Trust Company, N.A.   2004 SEC $1,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Fleet Specialist, Inc.   2004 SEC $59,097,469
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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.