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
CFG Solutions, LLC   2013 OR-FIN $30,000
Acuity Lending Corporation   2013 OR-FIN $4,500,000
Three Nines Minerals Ltd. Et al.   2013 OR-FIN $474,000
Family Benefits USA LLC   2013 OR-FIN $474,000
Equity Options Inc. of Bend   2013 OR-FIN $20,000
Catalyst Financial Resources, LLC   2013 OR-FIN $5,000
Great Circle Financial   2013 OR-FIN $6,000
Avalon Investment & Securities Group, Inc.   2013 OR-FIN $5,000
Anderson Heights Development LLC   2014 OR-FIN $12,000
Grace Financial Group, LLC   2014 OR-FIN $10,000
Nativeone Institutional Trading, LLC   2014 OR-FIN $10,000
Redwine & Company, Inc.   2014 OR-FIN $10,000
Smith Rock Race Group, LLC   2014 OR-FIN $5,000
DayTradingBuddy LLC   2014 OR-FIN $20,000
Thorne Trading & Investment Management   2014 OR-FIN $5,000
Intelicloud Holdings Inc.   2014 OR-FIN $40,000
Invest Northwest, L.L.C.   2015 OR-FIN $10,000
Blue Castle Films LLC et al.   2015 OR-FIN $140,000
Business Development Corporation of America   2016 OR-FIN $5,000
Richards, Merrill & Peterson, Inc.   2016 OR-FIN $15,000
Green Rush Consulting LLC   2016 OR-FIN $7,500
THC Pharmaceutical, Inc.   2016 OR-FIN $60,000
National Brokers of America Inc.   2017 OR-FIN $101,400
Cetera Advisors LLC   2017 OR-FIN $35,000
Cannacea LLC   2017 OR-FIN $40,000
Inland Pacific Energy Center LLC   2017 OR-FIN $35,000
One World Energy Advisors, LLC   2017 OR-FIN $30,000
Becker, Jackson & Reed LLC   2018 OR-FIN $60,000
Wellington Sports Club LLC et al.   2018 OR-FIN $35,000
CW Group LLC   2019 OR-FIN $5,000
Platinum Trading Company   2019 OR-FIN $40,000
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
99 Crossings LLC   2020 OR-FIN $50,000
Lumentrades Financial Incorporated   2020 OR-FIN $50,000
Starline Solutions, LLC   2020 OR-FIN $20,000
Strategic Capital Holdings, LLC et al.   2020 OR-FIN $120,000
McGervey Wealth Management LLC   2013 PA-BKG $5,000
Wall Street Financial Group Inc.   2013 PA-BKG $100,000
Comprehensive Capital Management Inc.   2013 PA-BKG $10,000
SK Group Inc.   2013 PA-BKG $8,000
Quattro Advisors LLC   2013 PA-BKG $10,000
EPG Advisory LLC   2013 PA-BKG $10,000
Trustmont Financial Group Inc.   2013 PA-BKG $100,000
Montchanin Asset Management LLC   2014 PA-BKG $10,000
HL.I Inc.   2014 PA-BKG $108,821
IBN Financial Services Inc.   2014 PA-BKG $10,000
Financial Triumph Associates   2014 PA-BKG $50,000
Bill Few Associates Inc.   2014 PA-BKG $75,000
LVG Holding #1255 LLC   2014 PA-BKG $7,500
Wall Private Wealth LLC   2017 PA-BKG $10,000
Iron Will Advisory Group   2017 PA-BKG $10,000
MidAmerica Financial Services Inc.   2015 PA-BKG $10,000
Gant Private Financial Management   2015 PA-BKG $5,296
Addison Capital Co.   2016 PA-BKG $175,000
Bryan Funding Inc.   2016 PA-BKG $5,000
River Wealth Advisors LLC   2016 PA-BKG $50,000
Buchanan Capital LLC et al.   2016 PA-BKG $190,000
Investors Capital Corp.   2016 PA-BKG $7,500
Lehman Capital Advisors LLC   2016 PA-BKG $100,000
Cobble Creek Group LLC   2016 PA-BKG $5,000
Elish & Elish Inc.   2017 PA-BKG $5,000
Woodbridge Structured Funding LLC   2017 PA-BKG $30,000
Private Advisor Group LLC   2017 PA-BKG $20,000
S.F. Ehrlich Associates Inc.   2017 PA-BKG $85,000
Newbridge Securities Corporation   2017 PA-BKG $499,000
Vasari Energy Inc.   2017 PA-BKG $7,500
A. Neff Associates   2017 PA-BKG $5,000
GJO Financial   2017 PA-BKG $5,000
Brandywine Financial Group Inc.   2017 PA-BKG $34,500
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
Explore Financial Group   2017 PA-BKG $75,000
Wesleyan Investment Foundation Inc.   2018 PA-BKG $50,000
Harris Financial Management   2018 PA-BKG $100,000
Spectrum Wealth Management LLC   2018 PA-BKG $25,000
PMN Inc. dba Portfolio Management Network Inc.   2018 PA-BKG $10,000
Kairos Capital Advisors LLC   2018 PA-BKG $10,000
Malaguti Wealth Management LLC   2018 PA-BKG $25,000
Roche Asset Management LLC   2018 PA-BKG $30,000
IFS Securities Inc.   2018 PA-BKG $15,000
Apollo18 LLC   2018 PA-BKG $5,000
Complete Business Solutions Group Inc. dba Par Funding   2018 PA-BKG $499,000
RWM Asset Management LLC   2019 PA-BKG $20,000
Iron Valley Wealth Management LLC   2019 PA-BKG $5,000
Kestra Investment Services LLC   2019 PA-BKG $30,000
Klein Pavlis & Peasley Financial, Inc.   2019 PA-BKG $20,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
The McMahon Team LLC   2019 PA-BKG $10,000
A Better Financial Plan LLC   2019 PA-BKG $490,000
RCM Securities a/k/a SNC Capital Management Corporation   2019 PA-BKG $5,000
Primitive Methodist Investment Foundation, Inc.   2019 PA-BKG $100,000
Miraculum Inc.   2019 PA-BKG $60,000
Trickling Springs Creamery, LLC   2020 PA-BKG $4,375,000
Young Oil Corporation   2006 RI-FIN $31,000
Pond Equities Corp.   2007 RI-FIN $14,960
Hannah Street Consulting Inc.   2008 RI-FIN $5,000
BTS Securities Corporation   2008 RI-FIN $15,694
Strategic Point Investment Advisors LLC and Progressive Financial Strategies LLC   2009 RI-FIN $50,000
Hold Brothers Online Investment Services LLC   2010 RI-FIN $20,300
Barrett & Co.   2015 RI-FIN $10,000
Carolina Linkages Inc. dba Carolinks   2008 SC-SEC $100,000
Decision Sciences Corporation   2009 SC-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.