Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
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
Temple Securities, Ltd.   2007 SEC $268,346
Vertical Capital Partners, Inc.   2007 SEC $490,432
Pacific Growth Equities, LLC   2007 SEC $425,000
Kelmoore Investment Company, Inc.   2007 SEC $100,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.?   2006 SEC $495,596
Kaplan & Co., Securities, Inc.   2006 SEC $100,000
FCA Corp.   2006 SEC $25,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Wall Street Access   2006 SEC $688,084
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Cantella & Company, Inc.   2006 SEC $50,000
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Dunham & Associates Investment Counsel, Inc.   2006 SEC $150,000
Delaware Service Company, Inc.   2006 SEC $435,000
Waddell & Reed, Inc. Macquarie financial services 2006 SEC $50,000,000
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Herzog, Heine, Geduld, LLC   2006 SEC $1,500,000
IFMG Securities, Inc.   2006 SEC $1,000,000
Weiss Research, Inc   2006 SEC $1,991,141
CapitalWorks Investment Partners, LLC   2006 SEC $40,000
Hutchens Investment Management, Inc.?   2006 SEC $40,000
Computershare Trust Company of Canada   2006 SEC $1,101,868
INET ATS, Inc.   2006 SEC $350,000
Metropolitan Life Insurance Company MetLife financial services 2006 SEC $250,000
New England Securities Corp. MetLife financial services 2006 SEC $2,614,865
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2006 SEC $558,806
Schultz Investment Advisors, Inc.   2005 SEC $114,534
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Renn Capital Group, Inc.   2005 SEC $2,961,362
Blue River Capital LLC   2005 SEC $150,000
Instinet, LLC and INET ATS, Inc.   2005 SEC $700,000
International Equity Advisors, LLC   2005 SEC $3,190,000
Applied Financial Group Inc.   2005 SEC $50,000
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
Springer Investment Management, Inc.?   2005 SEC $50,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
CMS Fund Advisers, Inc.   2005 SEC $115,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc   2005 SEC $40,000
Marketxt, Inc.   2005 SEC $49,965
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
vFinance Investments, Inc.   2005 SEC $50,000
Capital Analysts Incorporated   2005 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Colley Asset Management, Inc.   2005 SEC $100,000
Brean Murray & Co., Inc.   2005 SEC $150,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
Groh Asset Management, Inc.   2004 SEC $45,000
Kiely Financial Services, Inc.   2004 SEC $154,256
Rudney Associates, Inc.   2004 SEC $62,330
Taglich Brothers, Inc.   2004 SEC $50,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
JC Management, Inc.   2004 SEC $27,991
Connecticut Capital Markets, L.L.C.   2004 SEC $259,110
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Fidelity National Capital Investors, Inc.   2004 SEC $125,000
Freedom Financial, Inc.   2004 SEC $25,000
David Lerner Associates, Inc.   2004 SEC $50,000
Nevis Capital Management, LLC   2004 SEC $1,700,000
Hard Asset Management, Inc.   2004 SEC $62,439
Celebrity Resorts and Casinos, Inc.   2004 SEC $347,250
Research Investment Group, Inc.   2004 SEC $24,721
FT Interactive Data   2003 SEC $125,000
Brut, LLC Nasdaq Inc. financial services 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
Gemisys Corporation   2002 SEC $15,000
Millenium Capital Advisors of Pennsylvania, Inc   2002 SEC $50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC   2002 SEC $175,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
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.