Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
Westminster Holdings Ltd et al.   2002 OR-FIN $15,000
Westminster Securities Corporation   2000 TN-SEC $10,000
Westoby Works   2005 AK-DBS $75,000
WestPark Capital   2014 NJ-AG $30,000
Westpark Capital, Inc.   2017 MO-SEC $18,000
Westpark Capital, Inc.   2010 FINRA $400,000
Westport Capital Markets, LLC   2021 SEC $1,320,761
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Westrock Advisors, Inc.   2011 CT-SEC $250,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc.   2018 WA-FIN $250,000
WFB Management Group, LLC   2017 MO-SEC $150,000
WFG Advisors, L.P.   2016 SEC $100,000
WFG Investments Inc.   2015 TX-SEC $175,000
Wheat First Securities Inc.   2000 FINRA $7,730,000
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
Whispering Winds Properties, L.L.C et al.   2009 AZ-SEC $16,633,570
Whitcraft Capital Management, Inc.   2006 CA-DFPI $45,000
White Birch Brewing LLC   2020 NH-BSR $5,000
White Cedar Group, LLC   2014 NJ-BOS $2,000,000
Whitebox Advisors   2014 SEC $1,202,924
Whoistrustee.com Limited dba Binaryoptionrobot.com   2017 MO-SEC $104,100
Why Not Entertainment, L.L.C.   2001 AZ-SEC $137,500
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
William Blair & Co., L.L.C.   2015 SEC $80,000
William Blair & Company, L.L.C.   2017 SEC $4,500,000
William R. Evans Chartered   2002 AZ-SEC $5,000
William R. Hough & Co.   2000 SEC $3,264,000
Williams Advisory Group, LLC   2018 CFTC $19,450,034
Williamson Poultry Farms, Inc.   2002 MS-SEC $5,000
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Willis Lease Finance Corporation   2014 SEC $150,000
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Wilmington Capital Securities, LLC   2020 CT-SEC $11,275
Wilmington Savings Fund Society, FSB   2016 SEC $375,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Wilshire-Pennington Group Inc.   2018 OK-SEC $25,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Wilson Advisory Group   2013 CO-SEC $56,000
Wilson-Davis & Co., Inc.   2019 SEC $300,000
Wilson-Davis & Company, Inc.   2017 SEC $310,713
Window World, Inc.   2013 IN-SEC $9,000
WINDOW WORLD, INC.   2012 VA-SEC $8,000
Windsor Asset Management   2004 MD-SEC $48,919
Windsor Brokers, Ltd.   2012 CFTC $140,000
Windsor Capital Advisors, Inc.   2001 FINRA $20,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $200,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Windsor Street Capital, LP   2018 NH-BSR $5,000
Windward Partners LLC   2007 TX-SEC $10,000
Winell Associates, Inc. and Maxie Partners GP, LLC   2011 CFTC $5,200,000
WINGS TO GO, INC.   2018 VA-SEC $7,500
Winning Kids Inc.   2010 SEC $2,183,964
Winning Mortgages, LLC   2007 MD-SEC $20,000
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Winsome Investment Trust and US Ventures   2014 CFTC $44,000,000
Winston Reed Investments LLC   2020 SEC $255,850
Winter, Kloman, Moter & Repp, S.C.   2018 SEC $33,848
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Wireless Worldwide Connections, LLC, IX   2006 MN-FIN $5,130
Wireline, Inc.   2021 SEC $650,000
Wisconsin Retirement & Insurance Advisors, LLC   2019 WI-FIN $72,651
Wisdom, Inc.   2008 MS-SEC $314,500
Wise Enterprises, LLC and Wise Lending, LLC   2010 ID-SEC $2,443,637
Wisteria Global, Inc.   2015 SEC $1,138,935
Witter & Westlake Investments, Inc.   2021 KY-FIN $6,750
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
WM Financial Services, Inc.   2003 FL-OFR $40,000
WM Financial Services, Inc.   2004 FINRA $350,000
Wm Smith & Co.   2017 SEC $50,000
WMA Securities, Inc.   2000 FINRA $125,000
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
WOGE/WOG Ellison Well #1 Joint Venture   2008 WA-FIN $5,000
Wohl Capital Investment Group, LLC   2017 AZ-SEC $37,918
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc.   2009 AZ-SEC $448,043
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
Woodbridge Group of Companies LLC   2019 SEC $892,000
Woodbridge Structured Funding LLC   2017 PA-BKG $30,000
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $65,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 AZ-SEC $250,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
Woodland Resources LLC et al.   2020 TX-SEC $20,000
Woodlands Securities Corporation   2001 TX-SEC $5,000
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Woodstock Financial Group, Inc.   2010 CT-SEC $20,000
Woodstock Securities, Ltd.   2001 WA-FIN $6,000
Word Professional Institute   2011 MD-SEC $30,000
Worden Capital Management LLC   2020 FINRA $1,550,000
Workman Securities Corp.   2011 FINRA $700,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
World Financial & Investment Co., Inc.   2001 SEC $175,000
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.