Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Leland Energy, Inc.   2014 CO-SEC $700,000
Service Team, Inc.   2014 CO-SEC $25,000
Hulen Holdings, Inc.   2014 CO-SEC $36,650
Talking Water, LLC et al.   2014 CO-SEC $25,000
Preferred Spectrum Investments, LLC et al.   2016 CO-SEC $25,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Lion Equity Investment Advisors   2017 CO-SEC $300,000
Walton Financial, LLC   2017 CO-SEC $150,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
High Trust Financial and Consulting, Inc.   2017 CO-SEC $150,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc.   2017 CO-SEC $50,000
GRAnderson Wealth Management Group Inc.   2017 CO-SEC $35,000
Conestoga Trust   2017 CO-SEC $40,000
Financial Network Specialists, LLC   2018 CO-SEC $36,500
Maxwell Wealth Planning, Inc.   2018 CO-SEC $170,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
Annett & Associates   2020 CO-SEC $7,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC   2020 CO-SEC $50,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CO-SEC $69,338
Forstmann Little & Co.   2004 CT-AG $16,200,000
Jackson National Life Insurance Co Prudential (UK) financial services 2008 CT-AG $484,000
Murtha Cullina LLP   2007 CT-AG $16,250,000
Waste Management, Inc. Waste Management Inc. waste management and environmental services 2001 CT-AG $457,000,000
The Hansbury Group, LLC   2020 CT-BKG $5,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-BKG $150,000
Quint Wealth Management, Inc.   2020 CT-BKG $5,000
Boomerang Capital, LLC   2020 CT-BKG $5,020
Solace Investments, LLC   2020 CT-BKG $300,000
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-BKG $10,510
Volumetric Fund, Inc.   2021 CT-BKG $10,000
Financial Vision Advisory Services, LLC   2020 CT-BKG $5,375
Black Diamond Research, LLC   2006 CT-SEC $10,900
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
PIPS Inc.   2006 CT-SEC $100,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Digital Entertainment Corp.   2006 CT-SEC $20,000
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Vision Securities, Inc.   2006 CT-SEC $15,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
The Huntington Investment Co.   2006 CT-SEC $13,150
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
International Vacations, Ltd.   2006 CT-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Millenco, L.L.C.   2007 CT-SEC $25,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
Great Eastern Securities, Inc.   2007 CT-SEC $600,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
ICG Financial, LLC   2007 CT-SEC $7,500
Advantage Capital Corp.   2007 CT-SEC $25,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
HCH Cypress, LLC   2007 CT-SEC $200,000
The McCall Business Group, LLC dba MBG Private Trading   2007 CT-SEC $220,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
Managers Distributors, Inc.   2008 CT-SEC $350,000
New Castle Financial Services LLC   2008 CT-SEC $100,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Basic Investors Inc.   2008 CT-SEC $21,500
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Java's Brewin Development, Inc.   2008 CT-SEC $30,000
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
Markland Technologies, Inc.   2008 CT-SEC $100,000
Casimir Capital L.P.   2009 CT-SEC $15,000
Laidlaw & Company (UK) Ltd. fka Sands Brothers International Ltd.   2009 CT-SEC $60,000
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Press-A-Print International LLC   2009 CT-SEC $25,000
American Capital Partners, LLC   2009 CT-SEC $15,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Multivend, LLC dba Vendstar   2009 CT-SEC $5,000
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
McMahan Securities Co. L.P.   2010 CT-SEC $20,130
Mercer Capital Ltd.   2010 CT-SEC $5,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Woodstock Financial Group, Inc.   2010 CT-SEC $20,000
Royal Burgundy International, Inc.   2010 CT-SEC $25,000
TDA Advantage Trust   2010 CT-SEC $30,000
Forman Financial Services, LLC   2010 CT-SEC $25,000
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.