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 Industrysort icon Year Agency Penalty Amount
Synergy Oil, LLC   2014 CA-DFPI $20,400,047
CCM Management Group, LLC   2014 CA-DFPI $10,500
Simpson Capital Management, Inc.   2014 CA-DFPI $5,000
The Social Equity Group, Inc.   2014 CA-DFPI $35,000
Milestone Financial, LLC and Bear Bruin Ventures, Inc.   2014 CA-DFPI $127,000
Berry Resources, Inc. et al.   2014 CA-DFPI $26,700
CWS Capital Partners, LLC   2015 CA-DFPI $34,140
Official Payments Corp.   2015 CA-DFPI $185,000
Ekholm Wealth Management   2015 CA-DFPI $23,260
WCM Global Wealth, LLC   2015 CA-DFPI $5,000
Global Victory Capital Investment Group and Phase 7 Media Group, Inc.   2015 CA-DFPI $23,000
Renaissance Management, LLC et al.   2016 CA-DFPI $20,275,000
Bird Rock Management, LLC et al.   2016 CA-DFPI $45,000
Bellingham Investment Management   2016 CA-DFPI $64,120
Beryl Capital Management, LLC   2016 CA-DFPI $45,000
Rama Capital Partners, LLC   2016 CA-DFPI $10,000
Catamount Strategic Advisors, LLC   2017 CA-DFPI $88,511
Macian Wealth Management, LLC   2017 CA-DFPI $34,236
Jalapenos Leadership Industries, LLC   2017 CA-DFPI $58,500
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
Alii Consulting   2017 CA-DFPI $15,000
RG Capital Management, LLC   2017 CA-DFPI $30,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Harbor Island Wealth Management   2017 CA-DFPI $5,000
Candide Group, LLC   2017 CA-DFPI $15,000
TechnoVision Management, LLC   2017 CA-DFPI $50,000
Continuum Financial Partners, LLC   2017 CA-DFPI $5,000
JMR Capital Management, Inc.   2018 CA-DFPI $20,000
Buttonwood Tree Management, LLC   2018 CA-DFPI $50,223
Tiburon Research Group, Inc.   2018 CA-DFPI $5,000
Mirae Asset Wealth Management (USA) Inc.   2018 CA-DFPI $40,000
Crawford Capital, LLC   2018 CA-DFPI $10,000
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Highland Capital Group, Inc.   2019 CA-DFPI $270,000
Opes Capital Group, LLC   2019 CA-DFPI $15,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Pyramid Screening Technology, Inc.   2019 CA-DFPI $38,000
Piara Pizza, LLC   2020 CA-DFPI $35,000
Trademark INT PTT AB   2020 CA-DFPI $7,500
Amada Franchise, Inc.   2020 CA-DFPI $10,000
Key Resource Group, LLC and Key Gas Corp. and Key Gas Holding, LLC   2007 CO-SEC $300,000
Americus Home Loans, Inc.   2009 CO-SEC $400,000
Visionary Sports Entertainment, Inc.   2009 CO-SEC $92,307
Ascension Investments, Inc.   2010 CO-SEC $92,748
Hotel Gold Crown Southland, LLC   2010 CO-SEC $1,055,000
Klytie's Developments, Inc. et al.   2010 CO-SEC $4,667,724
Epic Equitable, LLC   2011 CO-SEC $99,700
Life Enhancement Systems, LLC   2011 CO-SEC $77,543
Earth Energy Exploration, Inc.   2012 CO-SEC $414,719
DH Products, LLC   2012 CO-SEC $48,250
Fairfield Energy, Inc. and D.B. Wheeler, LLC and Amazon Exploration, LLC   2012 CO-SEC $975,000
James Investment Advisers, LLC   2012 CO-SEC $609,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust   2012 CO-SEC $365,252
Jelco Ventures, Inc.   2012 CO-SEC $400,000
Wilson Advisory Group   2013 CO-SEC $56,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
New Body MD, LLC   2014 CO-SEC $75,000
Leland Energy, Inc.   2014 CO-SEC $700,000
Service Team, Inc.   2014 CO-SEC $25,000
Hulen Holdings, Inc.   2014 CO-SEC $36,650
Talking Water, LLC et al.   2014 CO-SEC $25,000
Preferred Spectrum Investments, LLC et al.   2016 CO-SEC $25,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Lion Equity Investment Advisors   2017 CO-SEC $300,000
Walton Financial, LLC   2017 CO-SEC $150,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
High Trust Financial and Consulting, Inc.   2017 CO-SEC $150,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc.   2017 CO-SEC $50,000
GRAnderson Wealth Management Group Inc.   2017 CO-SEC $35,000
Conestoga Trust   2017 CO-SEC $40,000
Financial Network Specialists, LLC   2018 CO-SEC $36,500
Maxwell Wealth Planning, Inc.   2018 CO-SEC $170,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
Annett & Associates   2020 CO-SEC $7,000
Black Diamond Research, LLC   2006 CT-SEC $10,900
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Independent Securities Investors Corp.   2006 CT-SEC $2,530,000
PIPS Inc.   2006 CT-SEC $100,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Digital Entertainment Corp.   2006 CT-SEC $20,000
Pacific Rim Investment Partners   2006 CT-SEC $100,000
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Vision Securities, Inc.   2006 CT-SEC $15,000
Charter One Capital Holding, Inc.   2006 CT-SEC $200,000
The Huntington Investment Co.   2006 CT-SEC $13,150
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
International Vacations, Ltd.   2006 CT-SEC $20,000
Millenco, L.L.C.   2007 CT-SEC $25,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
Great Eastern Securities, Inc.   2007 CT-SEC $600,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
ICG Financial, LLC   2007 CT-SEC $7,500
Advantage Capital Corp.   2007 CT-SEC $25,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
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.