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
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
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
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
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
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Goldman Sachs & Co. Goldman Sachs financial services 2016 SEC $15,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2015 SEC $267,000,000
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS financial services 2015 SEC $17,500,000
UBS AG UBS financial services 2015 SEC $19,500,000
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
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.