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
Haye Capital Group, LLC   2011 MD-SEC $250,000
Tropical Smoothie Franchise Development Corp.   2011 MD-SEC $10,000
Word Professional Institute   2011 MD-SEC $30,000
New Century Homes of Carolina, Inc.   2011 MD-SEC $660,000
PASCO Community Development Foundation, Inc.   2011 MD-SEC $30,000
Kitchen Concepts, Inc.   2011 MD-SEC $50,000
Crystal Victoria Corp. and PlatinumTech Corp.   2011 MD-SEC $100,000
The Endowment TEI Fund, L.P.   2011 MD-SEC $25,000
Infinite Equity Strategies, LLC   2011 MD-SEC $195,000
Lango, LLC   2012 MD-SEC $10,000
AIM Holdings I, LLC   2012 MD-SEC $50,000
KFK Enterprises.org et al.   2012 MD-SEC $30,000
Corporate Property Associates 15, Inc. and W.P. Carey & Co., LLC and Carey Financial, LLC   2012 MD-SEC $10,000
LBC Real Estate Development, Inc.   2012 MD-SEC $50,000
L3 Investments Corp.   2012 MD-SEC $25,000
Global Gold, LLC   2012 MD-SEC $25,000
Cash Flow Capital, LLC   2012 MD-SEC $13,610
Triune, LLC dba Baja Fresh   2012 MD-SEC $50,000
VipBinary.com et al.   2012 MD-SEC $25,000
Diversified Marketing Consultants, Inc. et al.   2012 MD-SEC $1,000,000
Chesapeake Financial Solutions, LLC   2013 MD-SEC $10,000
First Management Group Investments, Inc.   2013 MD-SEC $50,000
2946033 CANADA, Inc. dba The Mad Science Group   2013 MD-SEC $18,500
Inter Reef Ltd. dba Profitable Sunrise   2013 MD-SEC $25,000
JEI Self-Learning Systems, Inc.   2013 MD-SEC $15,000
Giordano Asset Management, LLC and Harbor Investment Solutions, LLC   2013 MD-SEC $25,000
Alms and Associates, Inc.   2013 MD-SEC $25,000
The Borrowing Station, LLC   2013 MD-SEC $50,000
Vocelli, LLC   2013 MD-SEC $5,000
Chelsea Financial Group, LLC   2013 MD-SEC $50,000
First Command Financial Planning, Inc.   2013 MD-SEC $5,000
Six Figure Club   2013 MD-SEC $10,000
Trinity Temporaries & Business Services   2014 MD-SEC $175,000
Automated Revenue Creation LLC and Guaranteed Results Advertising, LLC   2014 MD-SEC $1,500,000
Deak Reynolds Co.   2014 MD-SEC $7,500
1-800-Flowers.com Franchise Co., Inc.   2014 MD-SEC $5,000
EBN Marketing, LLC   2014 MD-SEC $20,000
Dream Marketing and SEO, Inc.   2014 MD-SEC $20,000
Paradise Biryani Express, Inc.   2014 MD-SEC $85,000
RBC Capital Market LLC   2015 MD-SEC $15,000
Inspired Capital Management   2015 MD-SEC $30,000
Ogan Financial Group, Inc. dba True Wealth Management   2015 MD-SEC $7,000
Kairos Capital LLC   2015 MD-SEC $10,000
Aurora Investment Management Group, LLC   2015 MD-SEC $20,000
Allsource Financial Management, LLC   2015 MD-SEC $10,578
Law Office of Greg S. Friedman   2015 MD-SEC $20,000
Retro Wall Street Advisors et al.   2015 MD-SEC $40,000
Famous Characters, LLC   2016 MD-SEC $20,000
Redrhino, Inc.   2016 MD-SEC $7,500
Bambu Desserts and Drinks, Inc.   2016 MD-SEC $5,000
Capital Investment Group, Inc.   2016 MD-SEC $500,000
RAphi Capital Management, LLC   2017 MD-SEC $430,700
Everest Investment Advisors, Inc.   2017 MD-SEC $195,000
Everest Wealth Management, Inc.   2017 MD-SEC $200,000
Sensuss, Inc.   2017 MD-SEC $85,000
J.J. Richardson, LLC   2017 MD-SEC $400,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Chandy Enterprises, LLC   2017 MD-SEC $16,500
Mid-Atlantic Financial, LLC et al.   2018 MD-SEC $1,200,000
Mongolian Gold Standard, LLC   2018 MD-SEC $40,000
Daekyo America, Inc.   2018 MD-SEC $15,000
High Point Wealth Management   2018 MD-SEC $3,990,000
First Nationle Solution, LLC   2018 MD-SEC $435,000
Caffebene, Inc.   2018 MD-SEC $5,000
Premier Marketing Solutions, LLC   2018 MD-SEC $20,000
Columbia Financial Advisors LLC   2018 MD-SEC $20,000
Best Western International, Inc.   2018 MD-SEC $297,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
Schmidt Baking Distribution, LLC   2019 MD-SEC $32,500
Cabildo Capital, LLC   2019 MD-SEC $10,000
The Baltimore Land Trust Development Group, LP   2019 MD-SEC $15,000
The Calvary Group, LLC   2019 MD-SEC $35,000
CJB Trading, LLC and CJB Properties, LLC and CJB Homes, LLC   2019 MD-SEC $365,000
Sound Investment Equity, LLC   2019 MD-SEC $15,000
Beauty Supply Institute, LLC   2020 MD-SEC $10,000
James L. Paris Financial Services, Inc.   2003 ME-SEC $6,000
Bodell Overcash Anderson & Co., Inc.   2005 ME-SEC $10,538
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
Woso Energy Corporation   2006 ME-SEC $6,000
Matrix Petroleum, Inc.   2006 ME-SEC $24,000
Garden State Securities, Inc.   2007 ME-SEC $10,000
David J. Deschaine Installations, Inc.   2008 ME-SEC $75,000
Aggressive Advertising Associates, LLC   2012 ME-SEC $24,085
VC Direct Solutions   2013 ME-SEC $8,000
Revere Securities LLC   2014 ME-SEC $35,000
InteliCloud Holdings, Inc.   2014 ME-SEC $25,000
Tech Financial Group   2014 ME-SEC $5,000
Nichols Investment Management   2015 ME-SEC $85,017
SMI Management & Research LLC   2015 ME-SEC $113,512
Spar Cove Associates, Inc.   2015 ME-SEC $9,000
Halliday Financial, LLC   2015 ME-SEC $20,000
CIT Investments, Ltd.   2017 ME-SEC $50,000
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
SF Investments, Inc.   2017 ME-SEC $5,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Option Mint   2018 ME-SEC $5,000
Kensington I.P. Limited   2018 ME-SEC $5,000
H. Beck, Inc.   2018 ME-SEC $10,000
Salem Advisory Group LLC   2018 ME-SEC $5,000
Saltwater Harbor Financial, LLC   2018 ME-SEC $50,000
Real Estate Man LLC   2018 ME-SEC $5,000
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.