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
Real Estate Man LLC   2018 ME-SEC $5,000
From The Sea To You Inc.   2019 ME-SEC $66,000
New Haven Capital Holdings, L.L.C.   2014 MI-SEC $1,000,000
Traverse Bay Investments Company, Ltd.   2015 MI-SEC $10,000
Rein Construction, LLC   2015 MI-SEC $5,000
Diplomat Consulting Services, LLC   2016 MI-SEC $30,000
IBA Consulting, LLC   2016 MI-SEC $20,000
Scorsesi Makeup, LLC   2016 MI-SEC $20,000
Park City Distributors   2016 MI-SEC $30,000
Flying G Racing   2016 MI-SEC $10,000
Wedgewood Properties, LLC   2016 MI-SEC $5,000
OE Capital Ventures, LLC   2016 MI-SEC $30,000
PercentPlus A Limited Liability Co.   2016 MI-SEC $10,000
Tauban, Inc.   2016 MI-SEC $20,000
Agape Global Investments Corp.   2016 MI-SEC $10,000
Harbinger Asset Management, L.L.C.   2016 MI-SEC $50,000
JAC Investments, LLC   2016 MI-SEC $20,000
OSAD, LLC   2016 MI-SEC $20,000
River East Financial, Ltd.   2016 MI-SEC $40,000
Cunningham Energy, LLC   2016 MI-SEC $20,000
Ascension Energy Group, Inc.   2016 MI-SEC $60,000
Leland Energy, Inc.   2016 MI-SEC $80,000
Patriots Energy Group, Inc.   2016 MI-SEC $40,000
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Creative Wealth Strategies, Inc.   2017 MI-SEC $40,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
Shaar 2, LLC   2017 MI-SEC $20,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
Treasure Enterprise, LLC   2017 MI-SEC $40,000
Meadowbrook Investment Advisors, LLC   2017 MI-SEC $20,000
Genesis Fund, LLC   2017 MI-SEC $10,000
GenVest VI, LLC   2017 MI-SEC $10,000
Manaia Capital Management, Inc.   2017 MI-SEC $5,000
Legacy Planning & Associates, Inc.   2017 MI-SEC $5,000
Victory H2O Distribution, LLC   2017 MI-SEC $30,000
Goldeneye Asset Management, LLC   2018 MI-SEC $5,000
Zuvan Technologies, Inc.   2018 MI-SEC $30,000
Dreamakers, LLC   2018 MI-SEC $90,000
Royal Securities Co. and Royal Advisers, LLC   2018 MI-SEC $5,000
Scott Schultz Closed-End Funds, Inc.   2018 MI-SEC $10,000
Goeken Group Corp.   2018 MI-SEC $6,000
Blockweather Holdings, LLC   2018 MI-SEC $60,000
Wedgewood Properties, LLC   2018 MI-SEC $60,000
CoreCap Investments, LLC   2018 MI-SEC $20,000
Percipience, LLC   2018 MI-SEC $10,000
GenVest III, LLC   2018 MI-SEC $10,000
First Nationle Solution, LLC   2018 MI-SEC $10,000
GenVest VII, LLC   2018 MI-SEC $10,000
Wesleyan Investment Foundation, Inc.   2018 MI-SEC $20,000
CapSource, Inc.   2019 MI-SEC $330,000
Independence Capital Co., Inc.   2019 MI-SEC $10,000
Mackrow Asset Management Group   2019 MI-SEC $100,000
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
CBIG CCS, LLC   2019 MI-SEC $20,000
ASI Capital, LLC et al.   2020 MI-SEC $5,000
Severn Funding & Investment Ltd.   2020 MI-SEC $20,000
Heartland Production and Recovery, LLC   2020 MI-SEC $20,000
LA Developers, LLC   2020 MI-SEC $30,000
Cannas Capital, LLC   2020 MI-SEC $10,000
BC Holdings and Investments, LLC   2020 MI-SEC $20,000
Mintage Mining, LLC   2020 MI-SEC $20,000
SLB Creations, Inc.   2020 MI-SEC $10,000
FSC Securities Corp.   2000 MN-FIN $5,000
First Securities USA, Inc.   2000 MN-FIN $6,000
Mortgage Group III, LLC   2003 MN-FIN $10,000
Eastern Energy Corp.   2003 MN-FIN $8,000
CGF Securities, LLC   2003 MN-FIN $5,000
Cornerstone Ministries Investments, Inc.   2005 MN-FIN $8,000
Wireless Worldwide Connections, LLC, IX   2006 MN-FIN $5,130
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
Thomas G. Grace Advisors   2008 MN-FIN $5,000
S3, Inc.   2008 MN-FIN $6,000
Puritan Securities Inc.   2008 MN-FIN $12,000
Friedman, Schnaier & Associates   2009 MN-FIN $12,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
Benchmark Financial Planning, Inc.   2010 MN-FIN $10,000
Efficient Creation Innovations, Inc. aka ECI and Broit Light   2012 MN-FIN $50,000
Silacon Corp.   2012 MN-FIN $7,500
Feltl and Company   2012 MN-FIN $7,500
Revelle Resources, Inc.   2012 MN-FIN $5,000
Authotecq Systems, Inc.   2012 MN-FIN $20,000
Strive Financial Group LLC and Wealth Security Firm LLC   2013 MN-FIN $5,000
Geckler Companies, Inc.   2013 MN-FIN $15,000
Ryan Capital Advisors, LLC   2013 MN-FIN $10,000
The Financial Planning Group, Inc.   2013 MN-FIN $10,000
Neoteric Energy, Inc.   2014 MN-FIN $250,000
Kensington Capital Management, Ltd.   2014 MN-FIN $50,000
Hurting Kind Films, LLC   2014 MN-FIN $15,000
Property Fraud Prevention, LLC   2015 MN-FIN $10,000
Creative Wealth Strategies, Inc. dba Adams-Hansen & Associates   2015 MN-FIN $15,000
Life Organic Holdings, Inc.   2017 MN-FIN $5,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
First American Securities, Inc.   2017 MN-FIN $10,200
American Blast Systems, Inc.   2017 MN-FIN $5,000
Goldview Capital Management LP and Goldview Investment Group LLC   2017 MN-FIN $200,025
Career Development Services International, LLC   2018 MN-FIN $20,000
Safe Harbor Retirement Solutions, LLC   2018 MN-FIN $40,000
Titan Trade Club   2018 MN-FIN $10,000
AlphaQuest Partners LLC   2019 MN-FIN $10,000
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.