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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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Peregrine Financial Group, Inc.   2000 CFTC $90,000
Farmers Cooperative Company   2000 CFTC $100,000
Sogemin Metals Inc.   2000 CFTC $500,000
First Options of Chicago, Inc.   2000 CFTC $163,000
ESL Partners, L.P.   2008 FTC $525,000
ValueAct Capital Partners   2007 FTC $1,100,000
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
Compass Capital Group, Inc.   2009 SEC $800,000
Concorde America, Inc.   2009 SEC $841,175
GMC Holding Corporation   2009 SEC $2,090,000
Value Line Inc.   2009 SEC $43,705,765
Thompson Price Holding Inc.   2009 SEC $288,815
Lion Gate Capital, Inc.   2009 SEC $150,000
Hazan Capital Management LLC   2009 SEC $4,000,000
TJM Proprietary Trading LLC   2009 SEC $541,000
Perry Corp.   2009 SEC $150,000
Marshall Holdings International, Inc.   2009 SEC $8,974,033
Colonial Fund LLC and Colonial Investment Management LLC   2009 SEC $1,400,000
Golden State Equity Investors, Inc.   2009 SEC $1,577,579
M.A.G. Capital LLC   2009 SEC $100,000
Lazard Capital Markets LLC   2008 SEC $2,847,008
H&M Petroleum Corporation and American Energy Resources Corporation   2008 SEC $510,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd.   2008 SEC $41,774,923
Quogue Capital LLC   2008 SEC $390,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
FacePrint Global Solutions, Inc.   2008 SEC $1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC   2008 SEC $39,900,000
AirTrac Inc.   2008 SEC $2,005,401
Lazare Industries, Inc.   2008 SEC $1,975,911
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
Regional Brokers, Inc.   2007 SEC $100,000
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
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
Blue Bottle Limited   2007 SEC $10,846,785
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
20th Century Jackson Equities, Inc.   2007 SEC $470,269
1st Global Capital Corp.   2006 SEC $100,000
U.S. Wind Farming, Inc.   2006 SEC $38,487
U.S. Gas & Electric, Inc.   2006 SEC $167,000
Graycort Financial, LLC   2006 SEC $100,000
BISYS Fund Services, Inc.   2006 SEC $21,400,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company   2006 SEC $10,000,000
Unified Fund Services, Inc.   2006 SEC $125,000
Bio-Heal Laboratories, Inc.   2006 SEC $618,135
National Clearing Corporation   2006 SEC $2,000,000
Langley Partners, North Olmsted Partners and Quantico Partners   2006 SEC $13,517,928
Vector Medical Technologies, Inc.   2006 SEC $14,208,718
Venture Capital Holdings LLC   2006 SEC $4,808,953
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management   2005 SEC $148,000,000
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
DB Investment Managers, Inc.   2005 SEC $33,159
Galleon Management, L.P.   2005 SEC $2,020,450
Stracq, Inc.   2005 SEC $660,000
Capital Concept Marketing, Inc.   2005 SEC $580,000
Herman's World of Sports, Inc.   2005 SEC $663,685
PanaMed Corp.   2004 SEC $5,000
First Command Financial Planning, Inc.   2004 SEC $12,000,000
Fremont Investment Advisors   2004 SEC $4,146,000
Beacon Hill Asset Management, LLC   2004 SEC $600,000
RS Investment Management L.P.   2004 SEC $25,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
Bridgeway Capital Management   2004 SEC $5,116,464
National Institute Companies of America, Inc.   2004 SEC $1,600,000
ACI Inc.   2004 SEC $7,756,750
Van Wagoner Capital Management, Inc.   2004 SEC $800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Needham & Company, Inc.   2004 SEC $700,000
Inviva Inc.   2004 SEC $5,000,000
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
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
LNB Bancorp, Inc.   2004 SEC $100,000
CDH & Affiliates, Inc.   2004 SEC $4,317,616
Security Trust Company, N.A.   2004 SEC $1,000,000
Bear Wagner Specialists LLC   2004 SEC $16,259,446
Fleet Specialist, Inc.   2004 SEC $59,097,469
LaBranche & Co., LLC   2004 SEC $63,518,760
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
Ace Payday Plus, LLC   2004 SEC $1,842,133
H.D. Vest Investment Securities, Inc.   2004 SEC $725,216
Linsco/Private Ledger Corp.   2004 SEC $2,232,805
Premier Marketing and Investments, Inc.   2003 SEC $4,497,451
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc.   2003 SEC $10,500,000
The Gaming Factory, Inc.   2003 SEC $2,100,102
Stratcomm Media Ltd.   2003 SEC $45,400,000
EyeCashNetworks, Inc. and Alliance Equities, Inc.   2003 SEC $688,230
North American Medical Products, Inc.   2003 SEC $120,000
TrendsGroup International, Inc.   2003 SEC $445,691
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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.