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
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
Richards, Merrill & Peterson Inc.   2016 TX-SEC $30,000
Rubicon Investment Management & Analytics LLC   2016 TX-SEC $5,000
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
PTI Securities & Futures L.P.   2017 TX-SEC $5,000
Provident Capital Management Inc.   2017 TX-SEC $8,000
Sunlight Investments   2018 TX-SEC $15,000
Trade-PMR Inc.   2018 TX-SEC $25,000
Brazos Securities Inc.   2018 TX-SEC $20,000
Global Asset Management Group Inc.   2019 TX-SEC $7,500
Mintage Mining LLC et al.   2019 TX-SEC $25,000
Integrity RIA, LLC   2019 TX-SEC $12,500
LFS RIA, LLC   2019 TX-SEC $88,933
FRA Wealth Management LLC   2019 TX-SEC $20,000
Grove Capital Management Inc.   2019 TX-SEC $5,000
Lowell & Company Inc.   2019 TX-SEC $40,000
WFG Investments Inc.   2015 TX-SEC $175,000
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 TX-SEC $600,000
Woodland Resources LLC et al.   2020 TX-SEC $20,000
LendingClub Corporation LendingClub Corp. financial services 2020 TX-SEC $400,000
Lorintine Capital LP   2020 TX-SEC $10,000
Challenger Wealth Management   2020 TX-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
S.G. Long & Company   2020 TX-SEC $15,000
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
Independent Financial Group, LLC   2021 TX-SEC $75,000
Legacy Wealth Advisors, Inc.   2021 TX-SEC $15,000
Paul Winkler, Inc.   2021 TX-SEC $5,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Baystar Capital Management LLC   2011 USAO $12,112,416
Hughes Energy Inc.   2009 USAO $4,261,211
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
AIRCABLE OF ROANOKE, INC. AND DIGITAL BROADCAST CORP.   2001 VA-SEC $102,500
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC   2001 VA-SEC $161,000
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
GLOBALINK SECURITIES, INC.   2001 VA-SEC $30,000
21ST. CENTURY TECHNOLOGIES FUNDING   2001 VA-SEC $5,000
21ST. CENTURY TECHNOLOGIES LLC   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE MANAGEMENT LLC   2001 VA-SEC $5,000
BRIGHT COVE SECURITIES INC.   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE LPS   2001 VA-SEC $5,000
INTEGRATED BROKERAGE SERVICES   2001 VA-SEC $775,000
IAC SECURITIES, INC.   2002 VA-SEC $20,000
BASIN OIL & GAS CORPORATION   2002 VA-SEC $5,500
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
ALPHACOM, INC.   2002 VA-SEC $20,000
SENIOR RETIREMENT SERVICES INC   2002 VA-SEC $125,250
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
WORLD ONLINE 247, INC.   2003 VA-SEC $31,500
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
MERRILL LYNCH PIERCE FENNER & Bank of America financial services 2004 VA-SEC $268,723
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
FIDELITY ASSURANCE ASSOCIATES   2005 VA-SEC $10,000
BELLACINO'S, INC.   2005 VA-SEC $8,000
FIREHOUSE RESTAURANT ET AL.   2005 VA-SEC $9,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
EARTHWALK COMMUNICATIONS, INC.   2006 VA-SEC $60,000
NATIONAL TENANT NETWORK, INC.   2006 VA-SEC $5,500
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TRANSCOMMUNITY FINANCIAL CORP.   2006 VA-SEC $58,900
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
CLARKE ENERGY GROUP INC.   2006 VA-SEC $116,000
CAC Capital Corporation   2006 VA-SEC $15,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
COMTEL, INC.   2007 VA-SEC $10,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
CORNERSTONE MINISTRIES   2007 VA-SEC $5,000
COMMONWEALTH CHURCH FINANCE INC.   2007 VA-SEC $78,000
REBEL HOLIDAY   2007 VA-SEC $110,000
FASHION TECHNOLOGY VENTURES   2007 VA-SEC $125,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
REGAL NAILS, LLC   2007 VA-SEC $21,000
FIRST GEORGETOWN SECURITIES INC.   2007 VA-SEC $22,500
THEODORE J. HOGAN & ASSOCIATES   2007 VA-SEC $53,117
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
C & D MANAGEMENT COMPANY   2008 VA-SEC $15,000
McKean County 3 Well, LLP,   2008 VA-SEC $10,000
L-O-T Development Wells, LLP   2008 VA-SEC $20,000
enTerra Seven, LLP   2008 VA-SEC $20,000
KAT-5-2, LLP   2008 VA-SEC $20,000
KAT-5, LLP   2008 VA-SEC $30,000
Great Oklahoma Oil Deal, LLP   2008 VA-SEC $50,000
Pennsylvania 3 Well Development, LLP   2008 VA-SEC $105,000
ENTERRA ENERGY, LLC   2008 VA-SEC $255,000
SAXBY'S COFFEE, INC.   2008 VA-SEC $14,000
BEYOND JUICE, INC.   2008 VA-SEC $150,000
H. BECK, INC.   2008 VA-SEC $60,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
FIRM GRIP BUSINESS MANAGEMENT   2008 VA-SEC $70,000
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.