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
Tower Square Securities, Inc.   2007 CT-SEC $300,000
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
HCH Cypress, LLC   2007 CT-SEC $200,000
The McCall Business Group, LLC dba MBG Private Trading   2007 CT-SEC $220,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
Managers Distributors, Inc.   2008 CT-SEC $350,000
New Castle Financial Services LLC   2008 CT-SEC $100,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Basic Investors Inc.   2008 CT-SEC $21,500
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Java's Brewin Development, Inc.   2008 CT-SEC $30,000
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
Markland Technologies, Inc.   2008 CT-SEC $100,000
Casimir Capital L.P.   2009 CT-SEC $15,000
Laidlaw & Company (UK) Ltd. fka Sands Brothers International Ltd.   2009 CT-SEC $60,000
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Press-A-Print International LLC   2009 CT-SEC $25,000
American Capital Partners, LLC   2009 CT-SEC $15,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Multivend, LLC dba Vendstar   2009 CT-SEC $5,000
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
McMahan Securities Co. L.P.   2010 CT-SEC $20,130
Mercer Capital Ltd.   2010 CT-SEC $5,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
Woodstock Financial Group, Inc.   2010 CT-SEC $20,000
Royal Burgundy International, Inc.   2010 CT-SEC $25,000
TDA Advantage Trust   2010 CT-SEC $30,000
Forman Financial Services, LLC   2010 CT-SEC $25,000
Blue Coast Financial Group, Inc.   2010 CT-SEC $25,000
Itradedirect.com Corp.   2010 CT-SEC $45,000
Vining Sparks IBG, L.P.   2010 CT-SEC $20,000
Andrew Garrett Inc.   2010 CT-SEC $20,000
Asset & Financial Planning, Ltd.   2010 CT-SEC $11,150
JHS Capital Advisors, Inc. fka Pointe Capital, Inc.   2010 CT-SEC $10,000
J. Lawson & Associates, Inc.   2010 CT-SEC $50,000
Grove Electronics, LLC dba Chip Partners LLC   2010 CT-SEC $10,000
Westrock Advisors, Inc.   2011 CT-SEC $250,000
Salomon Whitney LLC   2011 CT-SEC $12,500
Spear Capital Management, Inc.   2011 CT-SEC $5,000
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Meyers Associates, L.P.   2011 CT-SEC $12,500
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
Air-Byrd Operations LLC   2011 CT-SEC $100,000
Air-Byrd/River Joint Venture   2011 CT-SEC $100,000
CherryHomes Joint Venture   2011 CT-SEC $100,000
MidAmerica Resources, Inc. aka MA Resources, Inc.   2011 CT-SEC $100,000
Regal Royalty Resource   2011 CT-SEC $100,000
Portfolio Timing Service dba PTS Asset Management   2011 CT-SEC $25,000
John Thomas Financial   2011 CT-SEC $20,000
Newbridge Securities Corp.   2011 CT-SEC $10,000
Southridge Investment Group LLC fka Greenfield Capital Partners LLC   2012 CT-SEC $250,000
Movies for a Better World, LLC   2012 CT-SEC $50,000
Point Stratford Development, LLC fka Hollywood East/Area 51, LLC   2012 CT-SEC $100,000
Wadsworth Investment Co., Inc.   2012 CT-SEC $77,000
Laidlaw & Company (UK) Ltd.   2012 CT-SEC $7,500
Aegis Capital Corp.   2012 CT-SEC $15,000
IHS Herold Inc.   2012 CT-SEC $8,050
Brookville Capital Partners   2012 CT-SEC $5,000
Mullaney Management & Trust, LLC   2012 CT-SEC $10,000
Sky Watch Media, Inc.   2012 CT-SEC $50,000
Maxcomusa Group Inc.   2013 CT-SEC $50,000
Obsidian Financial Group, LLC   2013 CT-SEC $7,500
Steadfast Holdings Group, Inc. fka Beere Financial Group, Inc.   2013 CT-SEC $50,000
Connecticut Foreclosure Division Corp.   2013 CT-SEC $143,000
Stead-Fast Custom Linings, LLC   2013 CT-SEC $50,000
First Financial LLC   2013 CT-SEC $200,000
Method Films, Inc. aka Method Films, LLC   2013 CT-SEC $50,000
Mohr & Moore, LLC   2013 CT-SEC $50,000
Stilas Financial Services, S.A.   2013 CT-SEC $50,000
Accelerated Mentoring LLC fka Internet Sales Institute LLC   2013 CT-SEC $90,000
DFS Capital Management, LP and DFS Fund, Limited Partnership   2013 CT-SEC $414,000
RMV Holding Company, LLC   2013 CT-SEC $20,000
RMV Investments, LLC   2013 CT-SEC $10,000
Terra Energy Resources, Ltd.   2013 CT-SEC $100,000
New Heart LLC, Progenesis LLC and Oz III, LLC   2013 CT-SEC $10,000
PowerWater Systems, Inc.   2013 CT-SEC $225,000
PowerWater USA Ltd.   2013 CT-SEC $200,000
Hybrid Automotive Technologies, Inc.   2013 CT-SEC $50,000
Ironclad Investments, LLC   2013 CT-SEC $100,000
Northeast Development Corp.   2013 CT-SEC $50,000
Rescon Technology Corp.   2013 CT-SEC $50,000
The African Diamond Company, Inc. nka Coal Corporation   2013 CT-SEC $50,000
Speed of Thought Trading Corp.   2013 CT-SEC $50,000
Fundraising Co-Op, Inc.   2013 CT-SEC $7,500
Syndicated Capital, Inc.   2014 CT-SEC $10,000
P & C Capital Group LLC   2014 CT-SEC $10,000
Ulysses Partners, LLC   2014 CT-SEC $25,000
Columbus Advisory Group, Ltd.   2014 CT-SEC $5,000
Mittler & Mercaldo Investment Advisors   2015 CT-SEC $5,600
Poppin Kettle Franchising, Inc.   2015 CT-SEC $75,000
YoFresh Yogurts Franchising, Inc.   2015 CT-SEC $10,000
Meyers Associates, L.P.   2015 CT-SEC $50,000
First Connecticut Capital, LLC   2015 CT-SEC $5,000
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.