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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
First Heartland Consultants, Inc.   2021 SEC $1,045,528
Herbert J. Sims & Co., Inc.   2021 SEC $250,000
Integral Financial, LLC   2021 SEC $85,000
Coburn & Meredith, Inc   2021 SEC $299,340
Canton Hathaway LLC   2021 SEC $25,000
Carmel Capital Management LLC   2021 SEC $25,000
Castle Wealth Planning LLC   2021 SEC $25,000
Cohen Klingenstein LLC   2021 SEC $97,523
Dynamic Trading Management LLC   2021 SEC $10,000
Eastside Financial Advisors LLC   2021 SEC $10,000
Embree Financial Group Inc.   2021 SEC $97,523
Harold Davidson & Associates Inc.   2021 SEC $25,000
John A. Bysko Associates   2021 SEC $25,000
Madden Funds Management Ltd.   2021 SEC $25,000
Medallion Wealth Advisors LLC   2021 SEC $25,000
Mighty Oak Strong America Investment Company   2021 SEC $25,000
Minot DeBlois Advisors LLC   2021 SEC $97,523
O'Brien Greene & Co. Inc.   2021 SEC $25,000
Paratus Financial Inc.   2021 SEC $97,523
Quantitative Asset Management LLC   2021 SEC $25,000
Sauberan & Company LLC   2021 SEC $10,000
Summit Financial Advisors Inc.   2021 SEC $25,000
The Cavanaugh Group Inc.   2021 SEC $50,000
Westbourne Investments Inc.   2021 SEC $25,000
Bill Parker Agency   2021 SEC $10,000
Birkelbach & Co.   2021 SEC $10,000
Capital Portfolio Management Inc.   2021 SEC $25,000
Greentree Investment Services Inc.   2021 SEC $10,000
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
Tradier Brokerage Inc.   2021 SEC $50,000
First Capital Real Estate Investments, LLC   2021 SEC $3,876,400
Cascade Investment Group, Inc   2021 SEC $125,000
Blotics Ltd   2021 SEC $201,687
Momentus Inc.   2021 SEC $7,000,000
Stable Road Acquisition Company   2021 SEC $1,000,000
Kestra Private Wealth Services, LLC   2021 SEC $299,569
Kestra Advisory Services, LLC   2021 SEC $10,003,172
PLS, CPA   2021 SEC $73,028
St. Germain Investment Management, Inc.   2021 SEC $1,925,250
Parallax Health Sciences Inc.   2021 SEC $100,000
Westport Capital Markets, LLC   2021 SEC $1,320,761
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research   2021 SEC $83,582
Neovest Inc.   2021 SEC $2,750,000
Crown Capital Securities, L.P.   2021 SEC $1,587,912
Gateway One Lending & Finance, LLC   2021 SEC $6,513,192
Guggenheim Securities, LLC   2021 SEC $208,912
Loci Inc.   2021 SEC $7,600,000
Intervest International, Inc.   2021 SEC $205,277
Feltl Advisors, LLC   2021 SEC $333,971
Verus Capital Partners, LLC   2021 SEC $45,000
E&H Investment Services, LLC   2021 SC-INS $20,975
Trinity Asset Partners, LLC   2021 SC-INS $11,200
GSE Properties, LLC and 544 South Joint Venture   2021 SC-INS $30,000
GPB Capital Holdings, LLC et al.   2021 SC-INS $10,200,000
Fx Trader Stock   2021 SC-INS $200,000
Legacy Wealth Advisors, Inc.   2021 TX-SEC $15,000
Paul Winkler, Inc.   2021 TX-SEC $5,000
Pioneer Square Advisors, LLC   2021 WA-SEC $25,000
Sommers Financial Management, LLC   2021 WA-SEC $30,000
Capital Management Associates LLC   2021 WA-SEC $5,000
Guardian Data Systems, LLC   2021 WA-SEC $9,500
Tryp Technologies Inc.   2021 WA-SEC $34,000
Resolute Capital Partners, Ltd. et al.   2021 WA-SEC $263,525
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
ABN AMRO Incorporated ABN AMRO financial services 2005 FINRA $220,000
Advanced Drainage Systems, Inc. Advanced Drainage Systems building materials 2018 SEC $1,000,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
World Group Securities, Inc. Aegon financial services 2006 MO-SEC $228,600
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
Transamerica Financial Advisors, Inc. Aegon financial services 2020 FINRA $8,800,000
World Group Securities, Inc. Aegon financial services 2004 FINRA $150,000
AG Processing Inc Ag Processing Inc. agribusiness 2021 CFTC $400,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
USAllianz Securities Allianz financial services 2006 FINRA $5,000,000
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
Allstate Financial Services LLC Allstate financial services 2004 FINRA $150,000
Altaba Inc. Altaba diversified 2018 SEC $35,000,000
Presstek Inc. American Industrial Partners private equity (including portfolio companies) 2010 SEC $400,000
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
American International Group American International Group financial services 2010 OH-AG $725,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
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.