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
Fidelity Co-operative Bank   2014 MA-SEC $3,500,000
Infinex Investments, Inc.   2018 MA-SEC $125,000
Capital Investment Group, Inc.   2018 MA-SEC $50,000
SII Investments, Inc.   2018 MA-SEC $50,000
CarrierEQ, Inc. dba AirFox   2018 MA-SEC $100,000
United Planners' Financial Services of America   2019 MA-SEC $100,000
StockCross Financial Services, Inc.   2019 MA-SEC $225,000
Strategic Planning Group, Inc.   2019 MA-SEC $225,000
AOV WI FI   2004 MD-SEC $10,000
Windsor Asset Management   2004 MD-SEC $48,919
Nations Trust First Initiatives   2004 MD-SEC $40,000
eFox.net, Inc.   2004 MD-SEC $165,000
Ocean International Marketing BV and Churchill Associates, Ltd.   2004 MD-SEC $30,000
Euclid Systems Corp.   2004 MD-SEC $5,000
Sterling Advance Marketing, Inc.   2004 MD-SEC $30,000
Mid-Atlantic Estate Planning, Inc.   2004 MD-SEC $20,000
Lawstar, Inc.   2004 MD-SEC $15,000
Van On State, LLC   2005 MD-SEC $15,000
Universal Financial Group   2005 MD-SEC $150,000
Financial Concepts, Inc.   2005 MD-SEC $8,000
Synvest, Inc.   2005 MD-SEC $38,924
Financial Sources, Inc.   2005 MD-SEC $25,000
Nelson Finance, Inc. et al.   2005 MD-SEC $1,500,000
Maxim Growth Fund, LP   2005 MD-SEC $100,000
Maxim Capital, LLC   2005 MD-SEC $100,000
M.A.C. Investments, Inc. and M.A.C. Investment Sales, Inc.   2005 MD-SEC $800,000
Daniel G. Falk & Associates, P.C.   2005 MD-SEC $68,800
Secured Financial Services, Inc.   2005 MD-SEC $17,500
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
L.H. Ross & Company, Inc.   2005 MD-SEC $10,000
Maryland Capital Advisors, Inc.   2005 MD-SEC $5,930
Profitable Investments, Inc.   2005 MD-SEC $5,795
Solutions Planning Group, Inc.   2005 MD-SEC $37,500
E-Commerce Network.com, LLC and Wealth Systems, Inc.   2005 MD-SEC $15,000
Wealth Management Institute, Ltd.   2005 MD-SEC $13,406
My Plan Management group, LLC   2005 MD-SEC $15,000
Intersecurities, Inc.   2006 MD-SEC $364,811
Infinity Financial Investment Corp. and Wallstreet-Analysis Investments   2006 MD-SEC $35,000
US Mega Corporation et al.   2006 MD-SEC $195,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MD-SEC $72,000
Checkmake Financial, Inc.   2006 MD-SEC $40,000
Quizno's Franchising LLC and Quizno's Franchising II LLC   2006 MD-SEC $5,000
Dr. eBill.com, Inc.   2006 MD-SEC $30,000
GNC Franchising, LLC   2006 MD-SEC $100,000
Main Street Estate Group, Inc.   2006 MD-SEC $161,621
Medwell Group, Inc.   2006 MD-SEC $25,000
Damon's Restaurants, Inc.   2007 MD-SEC $10,000
Allegheny Investments, Ltd.   2007 MD-SEC $200,000
Winning Mortgages, LLC   2007 MD-SEC $20,000
American High Technology Center, Inc. and Kalimantan Mining, LLC   2007 MD-SEC $20,000
Rosewood Energy, LLC   2007 MD-SEC $150,000
International Energy and Resources, Inc.   2007 MD-SEC $75,000
Ardin Logistics, LLC   2007 MD-SEC $100,000
TAG Entertainment USA, Inc. et al.   2007 MD-SEC $380,000
Financial Sources, Inc.   2007 MD-SEC $25,000
Global Partners Capital   2008 MD-SEC $10,000
PSA Equities, Inc. and PSA Financial Advisors, Inc.   2008 MD-SEC $60,000
Alpine Petroleum, LLC and Red Earth Resources, Inc.   2008 MD-SEC $90,000
Phydea Equity Fund, LLC   2008 MD-SEC $890,000
ASM Financial Funding Corp.   2008 MD-SEC $200,000
Project Goshen, Inc.   2008 MD-SEC $63,000
TC & P Trade dba High Capital   2008 MD-SEC $270,000
Principal Investors Fund, Inc.   2008 MD-SEC $15,000
Energy Automation Systems, Inc.   2008 MD-SEC $100,000
JLR Group et al.   2008 MD-SEC $625,000
KH Funding Co.   2008 MD-SEC $15,000
Credit Solution and Financial Services, Inc.   2008 MD-SEC $25,000
Telkonet, Inc. and Telkonet Communications, Inc.   2008 MD-SEC $25,000
Joe Karsner & Associates, LLC   2008 MD-SEC $50,000
Porta Office Cyber Cafe, LLC and Morgan Communications, Inc.   2008 MD-SEC $315,000
Butler Classic Homes, LLC et al.   2009 MD-SEC $675,000
Norand Management Solutions LLC   2009 MD-SEC $95,000
Brooks Martin Investments, LLC and My1sthouse.com, LLC   2009 MD-SEC $358,432
CMSU & Associates, LLC and Super Model Portfolio, LLP   2009 MD-SEC $10,000
On The Mark Construction Co.   2009 MD-SEC $30,000
Offutt Group, LLC et al.   2009 MD-SEC $2,800,000
Celebration Financial, Inc. and Funding Advisors, Inc.   2009 MD-SEC $20,000
Global Pacific Investments, LLC   2009 MD-SEC $616,000
JHJ Funding, LLC   2009 MD-SEC $5,000
American River Capital, Inc. et al.   2009 MD-SEC $40,000
Anchor Mortgage, LLC   2009 MD-SEC $120,000
Delaware Distributors, L.P.   2009 MD-SEC $8,000
Prudential Investments, LLC   2009 MD-SEC $20,712
Gordon & Company Ltd.   2009 MD-SEC $975,000
Peters Financial Planning Corp.   2009 MD-SEC $6,700
MultiVend, LLC dba Vendstar   2009 MD-SEC $100,000
Yarn & Company, Inc.   2010 MD-SEC $464,333
Money Management Advisory, Inc.   2010 MD-SEC $5,000
AFC Asset Management Services, Inc.   2010 MD-SEC $5,000
Rodney International   2010 MD-SEC $20,000
K3 Enterprises, Inc.   2010 MD-SEC $65,000
100 Miles, LLC   2010 MD-SEC $20,000
WEI Mortgage Corp.   2010 MD-SEC $25,000
SCDC Management Company, LLC   2010 MD-SEC $15,000
Dominion Partners Worldwide, LLC   2010 MD-SEC $5,000
New Image, LLC   2010 MD-SEC $50,000
Global Bullion Exchange, LLC   2010 MD-SEC $825,000
Wealth Management and Marketing LLC   2010 MD-SEC $180,000
Cromwell Quality Tools Company, Inc.   2010 MD-SEC $10,000
ABCSP Inc.   2010 MD-SEC $35,000
Haye Capital Group, LLC   2011 MD-SEC $250,000
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.