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 Year Agencysort icon Penalty Amount
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
Surety Services LLC   2013 VT-FIN $150,000
UBS Financial Services Inc. UBS financial services 2014 VT-FIN $325,000
Tucker Financial Services Inc.   2015 VT-FIN $644,886
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Wells Fargo Advisors LLC Wells Fargo financial services 2016 VT-FIN $300,000
People's Securities Inc.   2017 VT-FIN $22,500
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2018 VT-FIN $120,000
D.A. Davidson and Co.   2018 VT-FIN $60,000
Stock Investment Management Inc.   2018 VT-FIN $15,000
Global Mining and Mint Corporation   2019 VT-FIN $125,000
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Thornton Investment Management PLLC   2020 VT-FIN $30,000
Account Management LLC   2020 VT-FIN $80,000
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Merrill Lynch Bank of America financial services 2020 VT-FIN $125,000
Lehman Brothers, Inc. Lehman Brothers financial services 2014 WA-AG $31,300,000
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
3D Money, LLC et al.   2020 WA-FIN $13,312
Rhino Linings Corp.   2020 WA-FIN $5,937
Fortpoint Investment Management   2020 WA-FIN $83,600
Rchain Cooperative   2020 WA-FIN $65,000
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
Retirement Base Camp   2019 WA-FIN $10,000
Urban Traffic   2019 WA-FIN $35,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Franchise Equity Group, Inc. and Franchise Equity Consortium   2019 WA-FIN $73,643
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
WebRotator, Inc.   2019 WA-FIN $65,000
New Wave Innovations Ltd.   2019 WA-FIN $12,500
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
Capital Energy Group LLC   2018 WA-FIN $31,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
Pacific Watercraft Group, Inc.   2018 WA-FIN $5,500
Brisk Management, LLC   2018 WA-FIN $11,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc.   2018 WA-FIN $250,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Larada Sciences, LLC   2018 WA-FIN $9,725
RealizedEquityServices LLC   2018 WA-FIN $32,500
VI Capital Management, LLC   2018 WA-FIN $12,500
Masters United 12 LLC et al.   2018 WA-FIN $5,000
Reign Capital Management, LLC   2017 WA-FIN $10,000
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
Oracle Stone Ltd.   2017 WA-FIN $32,000
InvestingCI, LLC   2017 WA-FIN $12,500
Northwest Crest, LLC and NW Crest Capital, LLC   2017 WA-FIN $10,000
Creative Money LLC   2017 WA-FIN $15,000
Binary Banc   2016 WA-FIN $12,000
MiniHYA Corp.   2016 WA-FIN $12,000
Doing Business, Inc.   2016 WA-FIN $60,000
Research Money Management, LLC   2016 WA-FIN $32,000
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC   2016 WA-FIN $30,000
Iverson Genetic Diagnostics, Inc.   2016 WA-FIN $70,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 WA-FIN $55,000
Couch Oil & Gas, Inc.   2016 WA-FIN $21,500
Katana Capital, LLC   2016 WA-FIN $11,000
Southeast Investments, N.C., Inc.   2016 WA-FIN $30,000
All Wave Engineering, Inc.   2016 WA-FIN $15,000
Dystopia Rising, LLC   2016 WA-FIN $12,000
TreeFree Biomass Solutions, Inc.   2016 WA-FIN $20,000
TVDeeBee, Inc.   2015 WA-FIN $12,500
JRS Investments and Wealth Preservation, LLC   2015 WA-FIN $6,346
Leland Energy, Inc. et al.   2015 WA-FIN $105,000
Saves, Inc.   2015 WA-FIN $5,000
Samson Energy Group, LLC   2015 WA-FIN $5,750
Upstream Solutions, LLC   2015 WA-FIN $18,000
Moe Investment Management, LLC   2015 WA-FIN $21,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
Mongolia Holdings, Inc.   2015 WA-FIN $12,500
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.   2015 WA-FIN $8,000
Hydro Alternative Energy, Inc.   2015 WA-FIN $75,000
Gulftex Operating, Inc. and Frenchtown Acres, LLC   2014 WA-FIN $17,000
Your Local Market, LLC   2014 WA-FIN $10,000
Milestone Life Settlement Fund, LLC et al.   2014 WA-FIN $17,000
Ashland Partners L.P.   2014 WA-FIN $30,000
Armadillo Energy, Inc.   2014 WA-FIN $23,000
Cirrus Partners, Inc.   2014 WA-FIN $10,000
MRG International, Inc.   2014 WA-FIN $10,000
Adams Financial Concepts, LLC   2014 WA-FIN $15,000
Global Asset Research and Recovery   2014 WA-FIN $11,000
Pacific West Securities, Inc.   2014 WA-FIN $25,000
EJZ Investments, LLC   2014 WA-FIN $6,500
New Earth Renewable Energy Inc.   2013 WA-FIN $15,000
SPF, INC   2013 WA-FIN $10,000
Ra Ghala Corporation, AuJeune Corporation   2013 WA-FIN $6,500
Pangean Energy, LLC   2013 WA-FIN $12,000
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC   2013 WA-FIN $7,500
Blue Chip Focus Fund, LP et al.   2013 WA-FIN $30,000
Yofast, LP   2013 WA-FIN $15,000
Dinotech Corp.   2013 WA-FIN $10,000
Thome Financial Management, LLC   2012 WA-FIN $17,500
Dream Dinners, Inc.   2012 WA-FIN $12,375
Financial Services International Corp.   2012 WA-FIN $40,000
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
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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.