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
Modern Investments LLC   2012 TN-SEC $6,890
Keblo Energy LLC   2013 TN-SEC $5,000
Quinn Financial Partners LLC   2013 TN-SEC $15,000
The Home Email Business Corp.   2016 TN-SEC $5,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Beasley & Company   2017 TN-SEC $5,000
Fieldstone Financial Partners LLC   2017 TN-SEC $5,000
Wealth Investors LLC   2017 TN-SEC $5,000
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Lirio LLC   2020 TN-SEC $8,000
Jones Wealth Management, LLC   2020 TN-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
Save.Win LLC   2020 TN-SEC $23,210
Greenway Capital Management, LLC   2021 TN-SEC $5,000
PFM Management Services, Inc.   2021 TN-SEC $10,000
Form Advisory Group, LLC   2021 TN-SEC $6,000
Financial Planning Center, LLP   2021 TN-SEC $7,500
Mountain States Capital Inc.   2000 TX-SEC $30,000
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
The Reserve Fund   2000 TX-SEC $150,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Supertrade Securities Inc.   2000 TX-SEC $15,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
Woodlands Securities Corporation   2001 TX-SEC $5,000
Protrader Securities Corporation   2001 TX-SEC $20,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Kleinheinz Capital Partners Inc.   2002 TX-SEC $60,000
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Lone Star Securities Inc.   2003 TX-SEC $10,000
Laradorbecker Securities Corporation   2003 TX-SEC $5,000
Premier Group Inc.   2003 TX-SEC $5,000
Northstar Energy Inc.   2003 TX-SEC $75,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
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
Tarpon Capital Management L.P.   2005 TX-SEC $80,000
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
FlexVest Securities Group Inc.   2005 TX-SEC $10,000
Kaizen Management LP   2005 TX-SEC $10,000
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Tamborello Capital Management LLC   2005 TX-SEC $75,015
Prospera Financial Services Inc.   2006 TX-SEC $5,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
Ameritrade Inc.   2007 TX-SEC $200,000
Miller Equity Capital Advisors   2007 TX-SEC $6,000
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Windward Partners LLC   2007 TX-SEC $10,000
First Western Securities Inc.   2007 TX-SEC $8,000
Legacy Harbor   2007 TX-SEC $9,000
M&W Financial Inc.   2007 TX-SEC $65,000
Gamboa Capital Management Inc.   2007 TX-SEC $5,000
International Wealth Management Inc.   2008 TX-SEC $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 TX-SEC $400,000
Select Asset Management LLC   2008 TX-SEC $7,500
EDI Financial Inc.   2008 TX-SEC $17,500
SWS Financial Services Inc.   2008 TX-SEC $35,000
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
IMS Securities Inc.   2008 TX-SEC $10,000
SMH Capital Inc.   2008 TX-SEC $30,000
LPL Financial Corporation LPL Financial financial services 2008 TX-SEC $5,000
Abshier Webb Donnelly & Baker Inc.   2009 TX-SEC $25,000
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
Dorothy of OZ LLC dba Box Office Productions III, LLC   2009 TX-SEC $5,000
Calandro Advisory Services Inc.   2009 TX-SEC $10,000
Milkie/Ferguson Investments Inc.   2009 TX-SEC $25,000
Mariner Investment Group   2009 TX-SEC $12,000
Investors Capital Corp.   2009 TX-SEC $10,000
Caprock Securities Inc.   2009 TX-SEC $10,000
808 Investments LLC et al.   2009 TX-SEC $10,000
Navigant Advisors LLC   2010 TX-SEC $5,000
Halter Global Opportunity Fund Management LLC   2010 TX-SEC $12,000
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
Citigroup Global Markets Inc. Citigroup financial services 2010 TX-SEC $130,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 TX-SEC $40,000
Sarker Investments LLC   2010 TX-SEC $5,000
H. Beck Inc.   2010 TX-SEC $9,500
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
Chestnut Exploration Partners Inc.   2012 TX-SEC $50,000
IMS Securities Inc.   2012 TX-SEC $20,000
Warner Financial Group Inc.   2013 TX-SEC $5,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2015 TX-SEC $400,000
LPL Financial LLC LPL Financial financial services 2016 TX-SEC $95,000
Financial Consulting Services   2016 TX-SEC $15,000
Scottrade Inc. Charles Schwab Corp. financial services 2016 TX-SEC $100,000
Mowery Capital Management LLC   2016 TX-SEC $42,930
Fuller Capital Management   2016 TX-SEC $5,000
The Investment Center Inc.   2016 TX-SEC $50,000
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
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.