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
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
Lombard Advisers, Inc.   2019 VA-SEC $45,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Hartquist & Noblet, LLC   2019 VA-SEC $53,220
Moonlighting, Inc.   2019 VA-SEC $7,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Harvest Financial Group, LLC   2019 VA-SEC $7,500
World Trend Financial Planning Services, Ltd   2019 VA-SEC $40,000
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Slagel Investment Management   2019 VA-SEC $7,500
Lionsgate Investments, Incorporated   2019 VA-SEC $285,786
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
Reye Partners Asset Management, LLC   2020 VA-SEC $6,000
HealthSource Chiropractic, Inc.   2020 VA-SEC $89,000
My Choice Hair, LLC   2020 VA-SEC $7,000
Capitol Securities Management, Inc.   2020 VA-SEC $100,000
SNC Capital Management Corporation d/b/a RCM Securities   2020 VA-SEC $5,000
Best Western International, Inc.   2020 VA-SEC $13,000
Master Networks, LLC   2020 VA-SEC $8,000
Skrimp Shack LLC   2020 VA-SEC $25,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
Liberty Roe Capital LLC   2020 VA-SEC $8,000
Savannah Solar International, Inc. and Savannah Solar International, LLC   2021 VA-SEC $61,611
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
BDT & Associates, Inc.   2021 VA-SEC $11,000
First Command Advisory Services, Inc.   2021 VA-SEC $20,500
F.C. Franchising Systems, Inc. d/b/a Fresh Coat   2021 VA-SEC $8,000
360 Painting, LLC   2021 VA-SEC $11,000
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
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
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.