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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 Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Fleet Specialist, Inc.   2004 SEC $59,097,469
LaBranche & Co., LLC   2004 SEC $63,518,760
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Ace Payday Plus, LLC   2004 SEC $1,842,133
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
H.D. Vest Investment Securities, Inc.   2004 SEC $725,216
Legg Mason Wood Walker, Inc. Legg Mason financial services 2004 SEC $2,315,467
Linsco/Private Ledger Corp.   2004 SEC $2,232,805
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 SEC $225,000,000
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
AIM Advisors Invesco financial services 2004 MULTI-AG (*) $125,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
FleetBoston Financial Corp. Bank of America financial services 2004 NY-AG (*) $300,000,000
Forstmann Little & Co.   2004 CT-AG $16,200,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Fremont Investment Advisors, Inc.   2004 NY-AG (*) $4,146,000
Invesco Funds Group Invesco financial services 2004 MULTI-AG (*) $325,000,000
Inviva, Inc.   2004 NY-AG $5,000,000
Janus Capital Management Janus Henderson financial services 2004 MULTI-AG $225,000,000
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 NY-AG $350,000,000
PA Distributors   2004 CA-AG $9,000,000
Pilgrim Baxter & Associates, Ltd.   2004 NY-AG (*) $100,000,000
RS Investment Management L.P.   2004 NY-AG (*) $30,000,000
Strong Capital Management Co. Wells Fargo financial services 2004 MULTI-AG (*) $115,000,000
Healthcare Purchasing Alliance, Inc.   2004 AZ-SEC $273,933
Global Trusts, L.L.C.   2004 AZ-SEC $125,680
Your Living Trust   2004 AZ-SEC $75,500
Corporate Architects, Inc.   2004 AZ-SEC $20,925
B.B. Financial Services Group, Inc.   2004 AZ-SEC $174,050
Dreos Financial Services   2004 AZ-SEC $22,425
International Global Positioning, Inc.   2004 AZ-SEC $615,951
Johnson Estate Planning Service, Inc.   2004 AZ-SEC $176,500
Integrowth Financial Group   2004 AZ-SEC $2,016,524
Unity Financial, LLC   2004 AZ-SEC $1,642,564
Intersecurities, Inc.   2004 AZ-SEC $50,000
HCH Enterprises, L.L.C.   2004 AZ-SEC $371,000
The Social Equity Group, Inc.   2004 CA-DBO $9,000
Blackboard, Inc.   2004 DC-DISB $5,000
Brookstreet Securities Corp.   2004 FL-OFR $15,000
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
Investors Capital Corp.   2004 FL-OFR $20,000
Meyers Associates, L.P.   2004 FL-OFR $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FL-OFR $10,000
Allen Douglas Securities, Inc.   2004 FL-OFR $10,000
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
Multi-Financial Securities Corp.   2004 ID-SEC $5,000
Public Communication Services, Inc. aka Sprawlnet.com, Inc.   2004 IL-SEC $20,000
High Tech Financial Products aka EBD Consulting, Inc.   2004 IL-SEC $5,000
Rapid Technologies Group, Inc. aka Event Horizon Technologies Software, Inc.   2004 IL-SEC $20,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 IL-SEC $5,000
HJM International Trading Ltd.   2004 IL-SEC $10,000
Octagon Financial Services, Inc.   2004 IL-SEC $11,500
Rise, Inc.   2004 KY-FIN $23,000
Basin Oil and Gas Corp.   2004 KY-FIN $7,500
Rogpex, Inc.   2004 KY-FIN $50,000
Morgan Stanley D.W., Inc. Morgan Stanley financial services 2004 KY-FIN $100,000
AOV WI FI   2004 MD-SEC $10,000
Windsor Asset Management   2004 MD-SEC $48,919
Nations Trust First Initiatives   2004 MD-SEC $40,000
eFox.net, Inc.   2004 MD-SEC $165,000
Ocean International Marketing BV and Churchill Associates, Ltd.   2004 MD-SEC $30,000
Euclid Systems Corp.   2004 MD-SEC $5,000
Sterling Advance Marketing, Inc.   2004 MD-SEC $30,000
Mid-Atlantic Estate Planning, Inc.   2004 MD-SEC $20,000
Lawstar, Inc.   2004 MD-SEC $15,000
National Securities Corp.   2004 MO-SEC $13,000
Continental Broker-Dealer Corp.   2004 MO-SEC $50,400
Tri-City Baptist Church, Inc.   2004 MO-SEC $15,000
Butler, Wick & Co., Inc.   2004 MO-SEC $11,600
The RWS Group, Inc.   2004 MO-SEC $16,120
AmSouth Investment Services, Inc. Regions Financial financial services 2004 MS-SEC $225,000
Brixon Group   2004 MS-SEC $50,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
Principal Life Insurance Company Principal Financial financial services 2004 ND-SEC $30,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Jaffray financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Jaffray financial services 2004 ND-SEC $17,000
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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.