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
AlphaQuest Partners LLC   2019 MN-FIN $10,000
Phoenix Asset Group, LLC   2019 MN-FIN $11,000
george DEAN LLC   2019 MN-FIN $11,000
Goldview Capital Management LP and Goldview Investment Group LLC   2019 MN-FIN $15,000
Schuster Financial LLC   2020 MN-FIN $20,000
Monex Deposit Company et al.   2020 MN-FIN $10,000
National Securities Corp.   2004 MO-SEC $13,000
Continental Broker-Dealer Corp.   2004 MO-SEC $50,400
Tri-City Baptist Church, Inc.   2004 MO-SEC $15,000
Butler, Wick & Co., Inc.   2004 MO-SEC $11,600
The RWS Group, Inc.   2004 MO-SEC $16,120
Vertical Securities, LLC and Vertical Group, LLC   2005 MO-SEC $5,000
Professional Resource Network, LLC   2005 MO-SEC $15,000
Everen Securities, Inc. and First Union Securities, Inc.   2005 MO-SEC $300,000
PureInvestor.com, Inc. and PIPS Inc. and PIC Trust Ltd.   2005 MO-SEC $20,800
Securities Compliance Department   2005 MO-SEC $13,298
Wyoming Financial Securities, Inc.   2005 MO-SEC $10,000
Skamp Investments LLC et al.   2005 MO-SEC $10,720
Worldwide Entertainment, Inc.   2005 MO-SEC $2,698,892
R.M. Duncan Securities, Inc.   2005 MO-SEC $5,000
Andrew Garrett, Inc.   2006 MO-SEC $9,500
Emerging Technologies Development Co. and Emerging Technologies Investment Group, L.L.C.   2006 MO-SEC $110,845
CoreFunds, Inc.   2006 MO-SEC $11,040
Easterday Exploration, Inc.   2006 MO-SEC $5,000
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Krystal Energy Corp.   2006 MO-SEC $18,000
King's Country Music Show   2006 MO-SEC $10,000
Omni Media & Entertainment, Inc.   2006 MO-SEC $5,000
Petro-America Producing Oil and Gas Wells, Inc.   2006 MO-SEC $5,652
Son & Carter, Inc.   2006 MO-SEC $50,000
Goldline International, Inc.   2006 MO-SEC $39,370
The Planning Group, Inc. dba Asset Strategies, Inc.   2006 MO-SEC $56,850
Paseo Biofuels, LLC   2006 MO-SEC $23,692
Great River Soy Processing Cooperative   2006 MO-SEC $15,037
Canady Holdings, Inc.   2006 MO-SEC $8,267
CRT Enterprises, LLC and Platinum Financial Advisors, LLC and Sterling-Meridian, LLC   2007 MO-SEC $63,194
Brookstreet Securities Corp.   2007 MO-SEC $20,950
Robert Olsen, P.C.   2007 MO-SEC $5,000
AFG Capital management, Inc.   2007 MO-SEC $11,870
Barrington Capital Management, Inc.   2007 MO-SEC $14,000
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
ROLFund.com and Crunkland Records, Ltd. and Crunkvest Ltd.   2007 MO-SEC $34,390
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Calivin Bird & Associates, LLC and Island Falls Financial, Inc.   2007 MO-SEC $14,605
Great American Investors, Inc.   2007 MO-SEC $17,500
First Nevada Marketing, Inc.   2007 MO-SEC $12,165
Broadview Asset Management, LLC   2007 MO-SEC $5,500
Capital Funding Management, Inc.   2007 MO-SEC $10,165
Key West Investment Group, LLC and Key West Property & Devolopment, Inc.   2007 MO-SEC $103,400
Planet EV's Inc.   2007 MO-SEC $40,000
R.A.M. Developments, LLC   2008 MO-SEC $25,000
Financial Solutions & Associates, Inc.   2008 MO-SEC $5,954
Cobble Creek Homes, LLC   2008 MO-SEC $42,200
Central Missouri Commodities, Inc.   2008 MO-SEC $65,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Andrew Garrett, Inc.   2008 MO-SEC $15,000
R.C. Transport, LLC   2008 MO-SEC $11,563
Guardian Financial Group, LLC   2008 MO-SEC $10,000
UMB Financial Services, Inc.   2008 MO-SEC $43,000
Commerce Brokerage Services, Inc.   2008 MO-SEC $525,000
New Century Investments, LLC   2008 MO-SEC $565,000
Daedalus Capital, LLC   2009 MO-SEC $25,350
Premier Capital Advisors, Inc.   2009 MO-SEC $10,000
Aisle 411, Inc.   2009 MO-SEC $5,000
Princor Financial Services Corp.   2009 MO-SEC $226,700
ShareValue, Inc.   2009 MO-SEC $9,000
Green Forest Investments and Development Company, LLC   2009 MO-SEC $5,460
GenSafe Plastics, Inc.   2009 MO-SEC $9,500
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
Safe Harbor Financial LLC   2009 MO-SEC $16,920
Datatex Investment Services, Inc.   2009 MO-SEC $15,000
NatCity Investments, Inc.   2009 MO-SEC $105,590
Greenleaf Companies, LLC and The Real Estate Company of Missouri   2010 MO-SEC $47,472
Boulder Wealth Management, LLC   2010 MO-SEC $5,000
The Hubbard Group, PC and Holding Group International, Ltd.   2010 MO-SEC $27,450
Petro America Corp.   2010 MO-SEC $28,660
Legacy Financial Assurance Group, Inc.   2010 MO-SEC $5,500
Huntleigh Securities Corp.   2010 MO-SEC $120,400
I. P. Holding, L.L.C.   2010 MO-SEC $21,470
Financial Network Investment Corp.   2011 MO-SEC $42,260
MFA Incorporated   2011 MO-SEC $5,000
Capital Management Services, Inc.   2011 MO-SEC $5,000
Guidepost Financial Limited Liability Company   2011 MO-SEC $5,000
Buraness Management, LLC   2011 MO-SEC $14,827
The Real Estate LLC and Safety Solutions USA, LLC   2011 MO-SEC $36,595
Farmington Investment Corp.   2011 MO-SEC $1,112,215
Meredith Construction and Meredith Holding   2011 MO-SEC $136,000
Wealth Financial International, LLC   2011 MO-SEC $365,942
B&B Equity Group LLC et al.   2011 MO-SEC $2,650,649
VSR Financial Services, Inc.   2011 MO-SEC $55,470
R.C. Transport, Inc. and General Investments, LLC   2012 MO-SEC $260,373
Blackbay Capital Advisors   2012 MO-SEC $5,000
EK Marketing, Inc.   2012 MO-SEC $12,000
Valuepoint Partners, Inc.   2012 MO-SEC $5,000
Paragon Financial Group, Inc.   2012 MO-SEC $159,500
Renaud & Company, LLC   2012 MO-SEC $11,226
Solar Evolution, Inc.   2012 MO-SEC $25,985
eCity, Inc.   2012 MO-SEC $29,000
Freedom Ridge Partners, LLC   2012 MO-SEC $308,999
Genshare Acquisition, Inc.   2012 MO-SEC $18,000
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.