Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
Piper Jaffray & Co. Piper Jaffray financial services 2004 ND-SEC $17,000
Huntleigh Securities Corporation   2004 ND-SEC $8,000
Morgan Stanley Morgan Stanley financial services 2004 NH-BSR $500,000
Pennichuck Corporation   2004 NH-BSR $230,000
Sunset Financial Group Inc. et al.   2004 OK-SEC $304,664
Omni Advisor Group Inc.   2004 OR-FIN $15,000
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
Mansfield Corporation et al.   2004 OR-FIN $120,000
Continental Broker-Dealer Corp.   2004 TN-SEC $10,000
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Professional Asset Management Inc.   2004 TN-SEC $22,550
InvestIN Securities Inc.   2004 TN-SEC $6,094
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
Allied Energy Group et al.   2004 TX-SEC $8,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
Milkie/Ferguson Investments Inc.   2004 TX-SEC $12,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
MERRILL LYNCH PIERCE FENNER & Bank of America financial services 2004 VA-SEC $268,723
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
City Escrow, Inc.   2004 WA-FIN $12,000
DBH Growth Fund   2004 WA-FIN $15,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 WA-FIN $325,000
Pacific Coast Investment Company   2004 WA-FIN $108,000
Lilac City Closing & Escrow LLC   2004 WA-FIN $5,000
Northwest Best Direct, Inc.   2004 WA-FIN $39,000
Great Northern Financial Services, Inc.   2004 WA-FIN $30,000
AmSouth Investment Services Inc. Regions Financial financial services 2004 MULTI-FIN $225,000
Veras Investment Partners, LLC   2005 CFTC $500,000
Trade Exchange Network Limited   2005 CFTC $150,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2005 CFTC $85,000
Armajaro Trading Limited   2005 CFTC $35,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Allegheny Gulf Investments, Inc   2005 CFTC $440,000
Hencorp Becstone Futures LC   2005 CFTC $50,000
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management   2005 SEC $148,000,000
Federated Investors, Inc. Federated Investors Inc. financial services 2005 SEC $72,000,000
House Asset Management, L.L.C. and House Edge, L.P.   2005 SEC $1,375,767
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
DB Investment Managers, Inc.   2005 SEC $33,159
Galleon Management, L.P.   2005 SEC $2,020,450
Oaktree Capital Management, LLC Oaktree Capital Management private equity (including portfolio companies) 2005 SEC $345,701
Stracq, Inc.   2005 SEC $660,000
New York Stock Exchange, Inc. IntercontinentalExchange Group financial services 2005 SEC $20,000,000
Capital Concept Marketing, Inc.   2005 SEC $580,000
Flowserve Corporation Flowserve industrial equipment 2005 SEC $350,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
Herman's World of Sports, Inc.   2005 SEC $663,685
Goldman, Sachs & Co. Goldman Sachs financial services 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
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   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
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Federated Investors, Inc. Federated Investors Inc. financial services 2005 NY-AG (*) $100,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 NJ-AG $10,000,000
Millennium Partners   2005 NY-AG (*) $121,400,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
Pureinvestor.com Inc.   2005 AK-DBS $75,000
PIPS Inc.   2005 AK-DBS $75,000
PIC Trust Limited   2005 AK-DBS $75,000
Westoby Works   2005 AK-DBS $75,000
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
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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.