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
Ameritrade Inc.   2007 TX-SEC $200,000
Miller Equity Capital Advisors   2007 TX-SEC $6,000
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Windward Partners LLC   2007 TX-SEC $10,000
First Western Securities Inc.   2007 TX-SEC $8,000
Legacy Harbor   2007 TX-SEC $9,000
M&W Financial Inc.   2007 TX-SEC $65,000
Gamboa Capital Management Inc.   2007 TX-SEC $5,000
International Wealth Management Inc.   2008 TX-SEC $5,000
Select Asset Management LLC   2008 TX-SEC $7,500
EDI Financial Inc.   2008 TX-SEC $17,500
SWS Financial Services Inc.   2008 TX-SEC $35,000
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
IMS Securities Inc.   2008 TX-SEC $10,000
SMH Capital Inc.   2008 TX-SEC $30,000
Abshier Webb Donnelly & Baker Inc.   2009 TX-SEC $25,000
Dorothy of OZ LLC dba Box Office Productions III, LLC   2009 TX-SEC $5,000
Calandro Advisory Services Inc.   2009 TX-SEC $10,000
Milkie/Ferguson Investments Inc.   2009 TX-SEC $25,000
Mariner Investment Group   2009 TX-SEC $12,000
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
Sarker Investments LLC   2010 TX-SEC $5,000
H. Beck Inc.   2010 TX-SEC $9,500
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
Financial Consulting Services   2016 TX-SEC $15,000
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
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
Woodland Resources LLC et al.   2020 TX-SEC $20,000
Lorintine Capital LP   2020 TX-SEC $10,000
Challenger Wealth Management   2020 TX-SEC $5,000
Advisory Financial Group, Inc.   2000 VA-SEC $35,000
AIRCABLE OF ROANOKE, INC. AND DIGITAL BROADCAST CORP.   2001 VA-SEC $102,500
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
CHILDREN'S MAGICAL CITIES INC. AND CMC GLOBAL ENTERTAINMENT LLC   2001 VA-SEC $161,000
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
GLOBALINK SECURITIES, INC.   2001 VA-SEC $30,000
21ST. CENTURY TECHNOLOGIES FUNDING   2001 VA-SEC $5,000
21ST. CENTURY TECHNOLOGIES LLC   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE MANAGEMENT LLC   2001 VA-SEC $5,000
BRIGHT COVE SECURITIES INC.   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE LPS   2001 VA-SEC $5,000
INTEGRATED BROKERAGE SERVICES   2001 VA-SEC $775,000
IAC SECURITIES, INC.   2002 VA-SEC $20,000
BASIN OIL & GAS CORPORATION   2002 VA-SEC $5,500
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
ALPHACOM, INC.   2002 VA-SEC $20,000
SENIOR RETIREMENT SERVICES INC   2002 VA-SEC $125,250
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
WORLD ONLINE 247, INC.   2003 VA-SEC $31,500
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
FIDELITY ASSURANCE ASSOCIATES   2005 VA-SEC $10,000
BELLACINO'S, INC.   2005 VA-SEC $8,000
FIREHOUSE RESTAURANT ET AL.   2005 VA-SEC $9,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
EARTHWALK COMMUNICATIONS, INC.   2006 VA-SEC $60,000
NATIONAL TENANT NETWORK, INC.   2006 VA-SEC $5,500
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TRANSCOMMUNITY FINANCIAL CORP.   2006 VA-SEC $58,900
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
CLARKE ENERGY GROUP INC.   2006 VA-SEC $116,000
CAC Capital Corporation   2006 VA-SEC $15,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
COMTEL, INC.   2007 VA-SEC $10,000
CORNERSTONE MINISTRIES   2007 VA-SEC $5,000
COMMONWEALTH CHURCH FINANCE INC.   2007 VA-SEC $78,000
REBEL HOLIDAY   2007 VA-SEC $110,000
FASHION TECHNOLOGY VENTURES   2007 VA-SEC $125,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
REGAL NAILS, LLC   2007 VA-SEC $21,000
FIRST GEORGETOWN SECURITIES INC.   2007 VA-SEC $22,500
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.