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 Year Agencysort icon Penalty Amount
First Union Brokerage Services, Inc. Wells Fargo financial services 2001 FINRA $32,500
Allmerica Investments, Inc.   2001 FINRA $15,000
Lutheran Brotherhood Securities Corp.   2001 FINRA $25,000
Datek Online Brokerage Services, LLC   2001 FINRA $30,000
Providential Securities, Inc.   2000 FINRA $115,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2000 FINRA $200,000
Asensio & Company, Inc.   2000 FINRA $75,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2000 FINRA $97,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
R.D. White & Co., Inc.   2000 FINRA $500,000
WMA Securities, Inc.   2000 FINRA $125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   2000 FINRA $1,180,000
First Chicago Capital Markets, Inc.   2000 FINRA $4,420,000
John Nuveen & Co., Inc. TIAA financial services 2000 FINRA $6,630,000
Peacock, Hislop, Staley & Given, Inc.   2000 FINRA $539,117
Scott & Stringfellow, Inc.   2000 FINRA $393,263
First Union Securities, Inc. Wells Fargo financial services 2000 FINRA $350,000
Botta Trading, LLC   2000 FINRA $75,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services 2000 FINRA $200,000
Kemper Distributors, Inc. Kemper financial services 2000 FINRA $100,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
Wheat First Securities Inc.   2000 FINRA $7,730,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
Raymond James & Associates Inc. Raymond James Financial financial services 2000 FINRA $3,410,000
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
J.C. Bradford & Co.   2000 FINRA $536,000
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
Prudential Securities, Inc. Wells Fargo financial services 2000 FINRA $100,000
1-800DAYTRADE.COM, Inc.   2000 FINRA $25,000
Donnelly & Co., Inc.   2000 FINRA $17,500
LaSalle St. Securities, L.L.C.   2000 FINRA $13,000
Addison Securities, Inc.   2000 FINRA $37,500
Choice Investments, Inc.   2000 FINRA $27,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2000 FINRA $495,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2018 FED $54,750,000
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Leucadia National Corporation Jefferies Financial Group diversified 2015 DOJ_ANTITRUST $240,000
Flakeboard America Limited AntarChile diversified 2014 DOJ_ANTITRUST $4,950,000
Berkshire Hathaway Inc. Berkshire Hathaway diversified 2014 DOJ_ANTITRUST $896,000
MacAndrews & Forbes Holdings Inc MacAndrews & Forbes diversified 2013 DOJ_ANTITRUST $720,000
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Nautilus Hyosung Holdings Inc.   2011 DOJ_ANTITRUST $200,000
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
Caledonia Investments   2016 DOJ_ANTITRUST $480,000
ValueAct   2016 DOJ_ANTITRUST $11,000,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
ValueAct Capital Partners L.P.   2007 DOJ_ANTITRUST $1,100,000
Iconix Brand Group Iconix Brand Group apparel 2007 DOJ_ANTITRUST $550,000
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
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Third Point LLC   2019 DOJ_ANTITRUST $609,810
Buckson Realty Brokerage, Inc.   2000 DE-SEC $39,934
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Janney Montgomery Scott, Inc. Penn Mutual financial services 2001 DE-SEC $210,909
Hale Associates, Inc.   2002 DE-SEC $551,000
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
Miller Johnson Steichen Kinnard, Inc.   2005 DE-SEC $5,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
Ameritrade, Inc.   2009 DE-SEC $40,000
ATC Investment Group, LLC   2010 DE-SEC $53,158
PNC Investments LLC PNC Financial Services financial services 2010 DE-SEC $250,000
AllianceBernstein L.P. Equitable Holdings financial services 2012 DE-SEC $20,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Janney Montgomery Scott LLC Penn Mutual financial services 2015 DE-SEC $105,000
LPL Financial LLC LPL Financial financial services 2015 DE-SEC $200,000
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 DE-AG $51,400
McLaughlin, Piven & Vogel   2009 DE-AG $60,000
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Pathmaker Solutions, LLC   2020 DE-AG $100,000
Blackboard, Inc.   2004 DC-DISB $5,000
Newbury Street Capital Limited Partnership   2011 DC-DISB $5,590
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Preston Wealth Management, LLC   2014 DC-DISB $432,525
Success Trade Inc.   2015 DC-DISB $13,179,804
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Black Diamond Research, LLC   2006 CT-SEC $10,900
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
PIPS Inc.   2006 CT-SEC $100,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Digital Entertainment Corp.   2006 CT-SEC $20,000
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Vision Securities, Inc.   2006 CT-SEC $15,000
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.