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
Ghetzler Aero-Power Corp.   2010 IL-SEC $5,000
America's Best Financial Services, Inc.   2011 IL-SEC $7,500
Eagle Strategies LLC   2011 IL-SEC $21,500
Newbury Street Capital   2011 IL-SEC $5,825
Senior Financial Strategies, Inc.   2011 IL-SEC $10,000
Stewart International Consultants, Ltd.   2011 IL-SEC $10,000
Mathews Logistics, LLC   2011 IL-SEC $10,000
Quad City Investment Advisors, LLC   2011 IL-SEC $23,000
The Maxim Group, LLC   2011 IL-SEC $60,000
City Capital Corp.   2011 IL-SEC $10,000
Clean Sweet Holdings Group, LLC   2011 IL-SEC $10,000
Sequoia Group, Inc.   2011 IL-SEC $11,500
The Matomi Group LLC   2011 IL-SEC $10,000
Alfaro Oil & Gas, LLC and Pinnacle Partners Financial Corp.   2011 IL-SEC $7,500
Tax Recovery Team   2011 IL-SEC $5,000
Kabarec Financial Advisors, Ltd.   2011 IL-SEC $37,000
Matthew Sapaula, Inc.   2011 IL-SEC $10,000
Fran Span Global, LLC et al.   2011 IL-SEC $5,000
Insider Real Estate, Inc.   2012 IL-SEC $20,000
Scanlan Realty & Investments, Ltd.   2012 IL-SEC $20,000
IspottedYou.com Inc.   2012 IL-SEC $10,000
Virginia Commercial Capital Corp.   2012 IL-SEC $18,500
Full Circle Strategies, Ltd.   2012 IL-SEC $20,000
Mega Cash Flow Investments, Inc.   2012 IL-SEC $20,000
Dragon Fire Solutions, Inc.   2012 IL-SEC $10,000
Pinnacle Investment Group, LLC   2012 IL-SEC $10,000
Revelle Resources Inc.   2012 IL-SEC $50,000
Michael R. Roeser and Associates, Inc.   2012 IL-SEC $39,000
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
Alpha Wealth Group   2013 IL-SEC $20,000
Rhoads Lucca Capital Management   2013 IL-SEC $7,585
COR Development Group, Inc.   2013 IL-SEC $20,000
Capital Management Group Securities, LLC   2013 IL-SEC $80,000
CMG Institutional Trading, LLC   2013 IL-SEC $10,000
AAA Venture Business Brokers, Ltd.   2014 IL-SEC $27,000
Emerson Capital Corp.   2014 IL-SEC $5,500
E.C.O. Holdings, Corp.   2014 IL-SEC $10,000
ECO Acquisitions, LLC   2014 IL-SEC $10,000
Clayton Collateral Advisors, Inc.   2014 IL-SEC $10,000
Mid America Partners, Inc.   2014 IL-SEC $10,000
LaHarpe-NRG, LLC   2014 IL-SEC $60,000
Bio-NRG, LLC   2014 IL-SEC $60,000
Government Benefit Advisors, LLC   2015 IL-SEC $5,000
Daedalus Capital, LLC   2015 IL-SEC $509,553
ReavillMed LLC   2015 IL-SEC $10,000
StreamOne FS, LLC   2015 IL-SEC $10,000
StreamOne LLC   2015 IL-SEC $10,000
United Private Capital, Inc.   2015 IL-SEC $15,000
Madison Avenue Securities, LLC   2015 IL-SEC $115,000
US Business Brokers, Inc.   2015 IL-SEC $15,000
Sunny Investments Brokerage Firm   2015 IL-SEC $10,000
Armared Dragon, Inc.   2015 IL-SEC $10,000
Elite Group Financial, LLC   2015 IL-SEC $5,000
LT Solutions Corp.   2016 IL-SEC $5,000
C22 Capital, Inc.   2016 IL-SEC $10,000
Sports Dimensions, Inc.   2016 IL-SEC $20,000
Jack V. Butterfield Investment Co.   2016 IL-SEC $10,957
Lanier Properties, Inc.   2016 IL-SEC $10,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
Rainmaker Securities, Inc.   2016 IL-SEC $26,000
Lakshmi Wealth Management LLC et al.   2016 IL-SEC $66,941
Elite Group Financial, LLC   2016 IL-SEC $5,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
European Assets, Inc.   2016 IL-SEC $15,000
Ten X Holdings, LLC   2017 IL-SEC $110,000
Lockhart and Rosenburg, Inc.   2018 IL-SEC $40,000
Simon Greene Investment Advisory Firm   2018 IL-SEC $90,000
Resources Planning Group, Inc.   2018 IL-SEC $5,000
Alumin USA, Ltd.   2018 IL-SEC $100,000
QBITI, LLC   2018 IL-SEC $20,000
B.T.A. International, Inc.   2018 IL-SEC $117,000
Pocketinns, Inc.   2018 IL-SEC $8,000
Aggressive Lending Co.   2019 IL-SEC $5,000
WealthBuilders.Name LLC   2019 IL-SEC $10,000
Herzog Financial Group, LLC   2019 IL-SEC $6,150
CMB Export, LLC   2019 IL-SEC $125,000
Petro-America Producing Oil & Gas Wells, Inc.   2007 IN-SEC $56,500
One World Enterprises, Inc.   2007 IN-SEC $222,500
GunnAllen Financial, Inc.   2008 IN-SEC $150,000
David A. Noyes & Company   2008 IN-SEC $30,000
Heartland Resources, Inc.   2008 IN-SEC $317,700
Suisse Capital Complex, Inc. and Asia Equities, Inc.   2009 IN-SEC $271,200
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Old Carco, LLC fka Chrysler, LLC   2009 IN-SEC $50,000
McGrath Hotels, LLC and The Lighthouse Group of Connecticut, LLC   2009 IN-SEC $220,000
Wren's Oil Field Recovery Co.   2009 IN-SEC $63,000
Ore Diversified, LLC   2009 IN-SEC $303,650
The Energy Group, Inc.   2009 IN-SEC $240,000
Loyalty Investments LLC   2009 IN-SEC $100,000
Racing Beverages, Inc.   2009 IN-SEC $397,000
Baldwin Wilson Development Corp.   2009 IN-SEC $426,800
Resources Planning Group, Inc.   2009 IN-SEC $100,000
Tri-County Finance Co., Inc.   2010 IN-SEC $165,140
Perrin, Holden and Davenport Capital Corp.   2010 IN-SEC $6,000
Pioneer Trust Corp.   2010 IN-SEC $211,415
IMBB Investment Advisors, Inc.   2010 IN-SEC $7,500
Premiere Planning, Inc.   2010 IN-SEC $7,500
My Social Income, Inc.   2010 IN-SEC $8,938
First Financial Planners, Inc.   2010 IN-SEC $187,500
Ogilvie Security Advisors Corp.   2010 IN-SEC $33,525
South American Trading, Inc.   2010 IN-SEC $12,772
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.