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
South American Trading, Inc.   2010 IN-SEC $12,772
Fuhrmann Capital LLC   2010 IN-SEC $8,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
Dock to Dock Trucking   2010 IN-SEC $90,750
Redbird Management Group   2011 IN-SEC $17,800
Provident Capital Management, Inc.   2011 IN-SEC $7,500
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Trans World Animal Health, LLC   2011 IN-SEC $10,000
Global Wealth Investments, LLC   2011 IN-SEC $5,000
The McCormick Group, LLC   2011 IN-SEC $5,000
Retirement Planners of America, Inc.   2011 IN-SEC $555,614
Genesis Advisors, LLC   2011 IN-SEC $5,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
J.J.B. Hilliard, W.L. Lyons, LLC   2011 IN-SEC $87,250
Grabill Bank   2011 IN-SEC $9,000
State Bonding dba State Bonding California   2011 IN-SEC $1,425,000
Rockwell Gold Investments   2011 IN-SEC $20,000
First Allied Advisory Services, Inc.   2011 IN-SEC $10,000
Koon Financial Planning & Consulting, LLC   2012 IN-SEC $71,268
Traverse Bay Investments Company, Ltd.   2012 IN-SEC $32,000
Cana Financial Advisors, LLC   2012 IN-SEC $30,000
Kardia, Inc.   2012 IN-SEC $10,000
Cal-Terra Partners, LLC   2012 IN-SEC $260,000
Steven W. Songer & Associates, Inc.   2012 IN-SEC $5,000
Hallmark Investments, Inc.   2013 IN-SEC $30,000
Genesis Holding Group, LLC   2013 IN-SEC $223,000
Banc De Binary   2013 IN-SEC $10,000
Twin Rocks Asset Management, Inc.   2013 IN-SEC $5,000
SBG Forever, Inc. et al.   2013 IN-SEC $17,465
Window World, Inc.   2013 IN-SEC $9,000
Covenant Management Group, LLC   2013 IN-SEC $124,000
National Securities Corp.   2013 IN-SEC $7,500
Lifetime Financial Growth of Ohio, LLC   2014 IN-SEC $15,000
E B Germany & Sons, LLC   2014 IN-SEC $79,150
OneAmerica Securities, Inc.   2014 IN-SEC $805,000
5 Star Investment Group, LLC   2015 IN-SEC $5,000
Kovack Securities Inc.   2015 IN-SEC $5,000
Hallmark Venture Group, Inc.   2015 IN-SEC $217,000
All Share Inc.   2015 IN-SEC $1,643,711
MK Investments, LLC   2016 IN-SEC $13,500
Legacy Outdoors, Inc.   2016 IN-SEC $6,000
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
Legacy Practice Management, LLC   2016 IN-SEC $5,000
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Blue Crab Partners, LLC   2017 IN-SEC $5,000
Corporate I Communications & Technology, Inc.   2017 IN-SEC $25,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Legacy Wealth Management   2018 IN-SEC $5,000
Hardwick Capital Management, LLC   2018 IN-SEC $42,984
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Abousaoui Financial, LLC   2019 IN-SEC $119,555
Cannon Operating Company, LLC   2019 IN-SEC $223,664
Rise, Inc.   2004 KY-FIN $23,000
Basin Oil and Gas Corp.   2004 KY-FIN $7,500
Rogpex, Inc.   2004 KY-FIN $50,000
Kingdom Oil, Inc.   2006 KY-FIN $5,000
Berry Resources, Inc.   2007 KY-FIN $5,000
Allied Syndications, Inc. dba Allied Energy Group   2007 KY-FIN $10,000
Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC   2007 KY-FIN $5,000
Mid-America Energy, Inc.   2008 KY-FIN $189,000
Questar Capital Corp.   2008 KY-FIN $54,668
Multiple One Group, Inc.   2008 KY-FIN $10,000
Voice, Video & Data Services, Inc.   2008 KY-FIN $10,000
Money Concepts Capital Corp.   2008 KY-FIN $5,000
Questar Capital Corp.   2009 KY-FIN $6,250
East Fork Energy Partners, Inc.   2010 KY-FIN $5,000
Allied Energy, Inc.   2010 KY-FIN $50,000
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
StatNet Corp.   2011 KY-FIN $15,000
IL Bridge Fund, LLC   2011 KY-FIN $10,000
Geo-Sensors/Re-Con Drilling & Exploration, Inc.   2011 KY-FIN $20,000
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
Angel Rose Energy, LLC   2012 KY-FIN $5,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
Berry Resources, Inc.   2012 KY-FIN $60,000
Remington Wealth Management, LLC   2013 KY-FIN $20,000
Newbridge Securities Corp.   2016 KY-FIN $7,476
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
High Powered Promotions, LLC et al.   2017 KY-FIN $206,000
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Majestic Management Corp.   2017 KY-FIN $123,000
M Holdings Securities, Inc.   2018 KY-FIN $5,000
Mann Capital Management, LLC   2018 KY-FIN $10,000
Encore Energy, Inc.   2018 KY-FIN $20,000
Secure Solutions, LLC   2019 KY-FIN $94,326
Ploutos Oil, LLC   2019 KY-FIN $120,000
Bolton Total Wealth Management and Spirited Funds, LLC   2019 KY-FIN $220,000
Wesleyan Investment Foundation, Inc.   2019 KY-FIN $11,250
Anabaptist Financial   2019 KY-FIN $5,500
Sunset Capital Assets, Inc.   2020 KY-FIN $45,000
FWG Investments LLC   2020 KY-FIN $50,000
Game Designs LLC   2020 KY-FIN $60,000
H. Beck, Inc.   2012 MA-SEC $90,000
Commonwealth Financial Network   2013 MA-SEC $300,000
Fidelity Co-operative Bank   2014 MA-SEC $3,500,000
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.