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
P-R-E, LLC dba Phoenix Renewable Energy   2013 AR-SEC $1,804,250
Nick Lynn Technologies, Inc.   2013 AR-SEC $70,000
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
Cetera Investment Services LLC   2021 AR-SEC $50,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Caruba International, LLC   2005 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial financial services 2005 AL-SEC $100,000
Triton EP, LLC   2006 AL-SEC $10,000
Divine Capital Markets, LLC   2006 AL-SEC $5,241
Gulftex Operating, Inc.   2007 AL-SEC $7,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
Patapsco Securities, Inc. dba Chapin Davis   2008 AL-SEC $5,377
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
Newman Energy Corp.   2008 AL-SEC $7,000
Rothschild Investment Corp.   2008 AL-SEC $17,646
Mowell Financial Group, Inc.   2009 AL-SEC $125,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc.   2010 AL-SEC $120,000
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
Bluepac Management LLC   2012 AL-SEC $7,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2012 AL-SEC $60,000
Global Financial Private Capital, LLC   2014 AL-SEC $5,000
Sovereign Funding, LLC   2015 AL-SEC $100,000
First Kentucky Securities Corp.   2016 AL-SEC $12,500
ClearPoint Capital Management, LLC   2016 AL-SEC $327,026
Morgan Keegan & Co. Raymond James Financial financial services 2017 AL-SEC $20,000
LPL Financial LLC LPL Financial financial services 2018 AL-SEC $80,000
Prominence Homes, LLC   2019 AL-SEC $100,000
Paul Winkler, Inc.   2019 AL-SEC $62,954
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
Haywood Securities (USA) Inc.   2021 AL-SEC $5,000
Nationwide Retirement Solutions   2010 AL-AG $16,000,000
Coastal Resources Corp.   2001 AK-DBS $50,000
Lotus Management   2003 AK-DBS $50,000
Global Strategies Ltd.   2003 AK-DBS $50,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Pureinvestor.com Inc.   2005 AK-DBS $75,000
PIPS Inc.   2005 AK-DBS $75,000
PIC Trust Limited   2005 AK-DBS $75,000
Westoby Works   2005 AK-DBS $75,000
Team JollyPIPster, LLC   2005 AK-DBS $75,000
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
Touchstone Funds Group Trust   2013 AK-DBS $5,000
Arbor Capital Management, Inc.   2013 AK-DBS $5,000
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
Fortune Oil & Gas, Ltd.   2014 AK-DBS $25,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 AK-DBS $51,120
Flatiron Capital Partners, LLC et al.   2015 AK-DBS $125,000
St. Andrews Investments, LLC   2015 AK-DBS $50,000
McKinley Capital Non-US Small Cap Growth Fund   2015 AK-DBS $5,000
Global Arena Capital Corp.   2015 AK-DBS $25,000
Northwest Financial Advisors, Inc.   2015 AK-DBS $6,250
Citigroup Global Markets, Inc. Citigroup financial services 2015 AK-DBS $35,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
Codawn Consulting Corp., Sentinel Capital Corp.   2017 AK-DBS $125,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
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.