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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Coastal Resources Corp.   2001 AK-DBS $50,000
Lotus Management   2003 AK-DBS $50,000
Global Strategies Ltd.   2003 AK-DBS $50,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
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
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
Touchstone Funds Group Trust   2013 AK-DBS $5,000
Arbor Capital Management, Inc.   2013 AK-DBS $5,000
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
Fortune Oil & Gas, Ltd.   2014 AK-DBS $25,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 AK-DBS $51,120
Flatiron Capital Partners, LLC et al.   2015 AK-DBS $125,000
St. Andrews Investments, LLC   2015 AK-DBS $50,000
McKinley Capital Non-US Small Cap Growth Fund   2015 AK-DBS $5,000
Global Arena Capital Corp.   2015 AK-DBS $25,000
Northwest Financial Advisors, Inc.   2015 AK-DBS $6,250
Citigroup Global Markets, Inc. Citigroup financial services 2015 AK-DBS $35,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
Codawn Consulting Corp., Sentinel Capital Corp.   2017 AK-DBS $125,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
Nationwide Retirement Solutions   2010 AL-AG $16,000,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Caruba International, LLC   2005 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial financial services 2005 AL-SEC $100,000
Triton EP, LLC   2006 AL-SEC $10,000
Divine Capital Markets, LLC   2006 AL-SEC $5,241
Gulftex Operating, Inc.   2007 AL-SEC $7,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
Patapsco Securities, Inc. dba Chapin Davis   2008 AL-SEC $5,377
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
Newman Energy Corp.   2008 AL-SEC $7,000
Rothschild Investment Corp.   2008 AL-SEC $17,646
Mowell Financial Group, Inc.   2009 AL-SEC $125,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc.   2010 AL-SEC $120,000
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
Bluepac Management LLC   2012 AL-SEC $7,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2012 AL-SEC $60,000
Global Financial Private Capital, LLC   2014 AL-SEC $5,000
Sovereign Funding, LLC   2015 AL-SEC $100,000
First Kentucky Securities Corp.   2016 AL-SEC $12,500
ClearPoint Capital Management, LLC   2016 AL-SEC $327,026
Morgan Keegan & Co. Raymond James Financial financial services 2017 AL-SEC $20,000
LPL Financial LLC LPL Financial financial services 2018 AL-SEC $80,000
Prominence Homes, LLC   2019 AL-SEC $100,000
Paul Winkler, Inc.   2019 AL-SEC $62,954
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
Realty Mortgage Corp.   2007 AR-SEC $12,500
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Girosol of Kentucky, Corp.   2008 AR-SEC $5,000
Great Nation Investment Corp.   2008 AR-SEC $21,112
Boardwalk Mortgage Group, LLC   2008 AR-SEC $5,631
Southwestern Union Conference of Seventh-day Adventists   2008 AR-SEC $5,000
Key Financial Corp.   2009 AR-SEC $5,000
Gateway Mortgage Group, LLC   2009 AR-SEC $15,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Apple Tree Investments, Inc.   2009 AR-SEC $50,000
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
Overland Mortgage Corp.   2010 AR-SEC $30,000
Nationwide Mortgage Concepts, LLC   2010 AR-SEC $20,000
W.R Starkey Mortgage, LLP   2010 AR-SEC $20,000
United Fidelity Funding Corp.   2010 AR-SEC $12,500
Krisell Oil Company, Inc.   2011 AR-SEC $20,000
Lewis & Clark Outdoors, Inc.   2011 AR-SEC $7,000
Capital Markets Advisory, LLC fka Carr Miller Capital Investments, LLC   2012 AR-SEC $30,000
John Thomas Financial, Inc.   2012 AR-SEC $42,421
Morgan Keegan & Co. Raymond James Financial financial services 2012 AR-SEC $59,659
J.D. Nicholas & Associates, Inc.   2013 AR-SEC $32,027
Newbridge Securities Corp.   2013 AR-SEC $17,377
Stephens Inc.   2013 AR-SEC $25,000
Interactive Brokers, LLC Interactive Brokers Group financial services 2013 AR-SEC $6,000
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
NSM Securities, Inc.   2013 AR-SEC $7,000
PowerOne Corp.   2014 AR-SEC $5,000
Vision Technologies, Inc.   2014 AR-SEC $8,000
Texas Energy Mutual, LLC   2014 AR-SEC $5,000
St. Bernard Financial Services, Inc.   2015 AR-SEC $25,000
Allied Energy, Inc.   2015 AR-SEC $7,500
McDonald Partners LLC   2016 AR-SEC $15,000
Regal Securities, Inc.   2017 AR-SEC $36,879
First Standard Financial Company, LLC   2017 AR-SEC $10,000
Wesleyan Investment   2018 AR-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
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.