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)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Rothschild Investment Corporation   2021 SEC $2,471,667
JW Korth & Company L.P.   2021 SEC $176,533
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 SEC $2,109,458
Diastole Wealth Management, Inc.   2021 SEC $100,000
Paradigm Wealth Advisory, LLC   2021 SEC $440,103
Frontier Wealth Management, LLC   2021 SEC $658,712
Pareteum Corporation   2021 SEC $500,000
McDonald Partners, LLC   2021 SEC $194,682
Cetera Advisor Networks LLC et al.   2021 SEC $300,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc.   2021 SEC $250,000
KMS Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $200,000
Cantella & Co., Inc.   2021 SEC $701,630
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $200,000
Educators Financial Services, Inc.   2021 SEC $790,365
Crews & Associates Inc.   2021 SEC $244,072
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc.   2021 SEC $1,957,053
Northwest Advisors, Inc.   2021 SEC $245,000
SoFi Wealth, LLC   2021 SEC $300,000
Murchinson Ltd.   2021 SEC $8,878,183
ISC Advisors, Inc.   2021 SEC $716,345
Poloniex LLC   2021 SEC $10,388,309
Blockchain Credit Partners   2021 SEC $12,849,354
Prosperity Economics Partners LLC and Partners for Prosperity LLC   2021 SEC $275,000
National Beverage Corp. National Beverage Corp. beverages 2021 SEC $481,920
USA Financial Securities Corporation   2021 SEC $249,455
First Heartland Consultants, Inc.   2021 SEC $1,045,528
Paycom Software, Inc. Paycom Software information technology 2021 SEC $250,000
Herbert J. Sims & Co., Inc.   2021 SEC $250,000
Integral Financial, LLC   2021 SEC $85,000
Coburn & Meredith, Inc   2021 SEC $299,340
Canton Hathaway LLC   2021 SEC $25,000
Carmel Capital Management LLC   2021 SEC $25,000
Castle Wealth Planning LLC   2021 SEC $25,000
Cohen Klingenstein LLC   2021 SEC $97,523
Dynamic Trading Management LLC   2021 SEC $10,000
Eastside Financial Advisors LLC   2021 SEC $10,000
Embree Financial Group Inc.   2021 SEC $97,523
Harold Davidson & Associates Inc.   2021 SEC $25,000
John A. Bysko Associates   2021 SEC $25,000
Madden Funds Management Ltd.   2021 SEC $25,000
Medallion Wealth Advisors LLC   2021 SEC $25,000
Mighty Oak Strong America Investment Company   2021 SEC $25,000
Minot DeBlois Advisors LLC   2021 SEC $97,523
O'Brien Greene & Co. Inc.   2021 SEC $25,000
Paratus Financial Inc.   2021 SEC $97,523
Quantitative Asset Management LLC   2021 SEC $25,000
Sauberan & Company LLC   2021 SEC $10,000
Summit Financial Advisors Inc.   2021 SEC $25,000
The Cavanaugh Group Inc.   2021 SEC $50,000
Westbourne Investments Inc.   2021 SEC $25,000
Bill Parker Agency   2021 SEC $10,000
Birkelbach & Co.   2021 SEC $10,000
Capital Portfolio Management Inc.   2021 SEC $25,000
Greentree Investment Services Inc.   2021 SEC $10,000
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
Tradier Brokerage Inc.   2021 SEC $50,000
First Capital Real Estate Investments, LLC   2021 SEC $3,876,400
UBS Financial Services Inc. UBS financial services 2021 SEC $8,112,174
Cascade Investment Group, Inc   2021 SEC $125,000
Blotics Ltd   2021 SEC $201,687
Momentus Inc.   2021 SEC $7,000,000
Stable Road Acquisition Company   2021 SEC $1,000,000
Kestra Private Wealth Services, LLC   2021 SEC $299,569
Kestra Advisory Services, LLC   2021 SEC $10,003,172
Hilltop Securities Inc. Hilltop Holdings financial services 2021 SEC $340,193
PLS, CPA   2021 SEC $73,028
St. Germain Investment Management, Inc.   2021 SEC $1,925,250
Parallax Health Sciences Inc.   2021 SEC $100,000
Westport Capital Markets, LLC   2021 SEC $1,320,761
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $1,750,000
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research   2021 SEC $83,582
Neovest Inc.   2021 SEC $2,750,000
Crown Capital Securities, L.P.   2021 SEC $1,587,912
Gateway One Lending & Finance, LLC   2021 SEC $6,513,192
Guggenheim Securities, LLC   2021 SEC $208,912
Loci Inc.   2021 SEC $7,600,000
Intervest International, Inc.   2021 SEC $205,277
Feltl Advisors, LLC   2021 SEC $333,971
Verus Capital Partners, LLC   2021 SEC $45,000
Terra Nova Trading LLC   2000 TN-SEC $7,500
Westminster Securities Corporation   2000 TN-SEC $10,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
Goldis Financial Group Inc.   2001 TN-SEC $10,000
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
Quality Financial Concepts   2003 TN-SEC $5,800
MONY Securities Corporation Equitable Holdings financial services 2003 TN-SEC $10,000
Cuso Equities Inc.   2003 TN-SEC $5,500
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
Dixon Insurance Agency   2005 TN-SEC $9,268
New Millennium Investment Company   2005 TN-SEC $12,000
SF Investments Inc.   2005 TN-SEC $21,325
Granite Associates Inc.   2005 TN-SEC $17,500
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
Westfort Energy Ltd.   2006 TN-SEC $108,773
Hattier, Sanford & Reynoir LLP   2007 TN-SEC $25,000
Quadra Pay Inc. and Quadra Pay Land LLC   2009 TN-SEC $5,000
Church of God Foundation Inc.   2012 TN-SEC $5,050
Modern Investments LLC   2012 TN-SEC $6,890
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.