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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
UBS Securities, L.L.C. UBS financial services 2004 FINRA $10,000
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services Inc. UBS financial services 2008 MULTI-FIN (*) $150,000,000
UBS Securities LLC UBS financial services 2015 SEC $14,400,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
UBS Securities LLC UBS financial services 2011 FINRA $12,000,000
UBS Securities UBS financial services 2009 FINRA $268,000
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
UBS International Inc. UBS financial services 2005 FINRA $10,000
UBS Global Asset Management UBS financial services 2012 SEC $300,000
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS financial services 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
UBS Financial Services, Inc. UBS financial services 2011 FINRA $10,750,000
UBS Financial Services, Inc. UBS financial services 2009 FINRA $100,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2007 FINRA $370,000
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services 2015 FINRA $18,500,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2012 SEC $26,600,000
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
UBS Financial Services Inc. UBS financial services 2015 SEC $480,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
UBS Financial Services Inc. UBS financial services 2006 NJ-AG $24,750,000
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS financial services 2012 NH-BSR $72,500
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS financial services 2014 VT-FIN $325,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
UBS Financial Services Inc. UBS financial services 2019 FINRA $2,000,000
UBS Financial Services Inc. UBS financial services 2004 FINRA $200,666
UBS Financial Services UBS financial services 2014 SEC $56,400
UBS Financial Services UBS financial services 2016 SEC $15,025,882
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
UBS Financial Services UBS financial services 2012 FINRA $2,354,584
UBS AG UBS financial services 2015 SEC $19,500,000
UBS AG UBS financial services 2010 CFTC $130,000
UBS AG UBS financial services 2018 CFTC $15,000,000
UBS UBS financial services 2010 MI-AG $117,000,000
UASNM, Inc.   2014 SEC $100,000
UAB Mid West Group   2020 WI-FIN $250,000
U.S. Wind Farming, Inc.   2006 SEC $38,487
U.S. Securities Intl. Corp.   2002 OR-FIN $10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services 2010 SEC $112,600,000
U.S. Media Team, LLC and Cell Wireless Corp.   2013 AZ-SEC $139,000
U.S. Media Team, LLC   2011 AZ-SEC $116,260
U.S. Investors Group, Inc.   2002 FL-OFR $10,000
U.S. Gas & Electric, Inc.   2006 SEC $167,000
U.S. Bank National Association U.S. Bancorp financial services 2015 CFTC $18,000,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
U.S. Bank Municipal Securities Group U.S. Bancorp financial services 2015 SEC $60,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 SEC $32,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MT-SEC $2,625,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 NE-DBF $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MULTI-FIN (*) $12,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 FINRA (*) $1,650,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services 2002 FINRA $250,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Tyrol Group, LLC, Native American Tyrol Energy, LLC   2017 CT-SEC $100,000
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd. Johnson Controls automotive parts 2009 MI-AG $24,500,000
Tyco International Ltd. Johnson Controls automotive parts 2002 NH-BSR $5,100,000
Twin Rocks Asset Management, Inc.   2013 IN-SEC $5,000
TVDeeBee, Inc.   2015 WA-FIN $12,500
TV Products, LLC fka US Loans Negotiation, LLC   2013 AZ-SEC $185,734
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DFPI $10,000
Tunney & Associates, P.C.   2014 CFTC $100,000
Tullett Prebon Americas Inc.   2019 CFTC $13,000,000
Tucson Estate Financial Advisors, Inc.   2000 AZ-SEC $114,080
Tucker Financial Services Inc.   2015 VT-FIN $644,886
TSP Capital Management Group, LLC   2020 SEC $60,000
TruTankless, Inc.   2021 SEC $25,000
Trustmont Financial Group Inc.   2013 PA-BKG $100,000
Trustcore Financial Services, LLC   2019 SEC $422,261
Trust & Investment Advisors, Inc.   2015 SEC $50,000
True North Productions, LLC   2012 OR-FIN $400,000
True North Business Ventures LLC   2013 AZ-SEC $376,091
Truckville Inc. dba EZ Finance Auto Sales   2000 AZ-SEC $5,000
TRP Advisory Group, Inc. and Traders East, Inc.   2010 CFTC $150,000
Troubh Partners   2014 SEC $408,710
Tropical Trade   2018 MO-SEC $137,109
Tropical Smoothie Franchise Development Corp.   2011 MD-SEC $10,000
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
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.