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
Genshare Acquisition, Inc.   2012 MO-SEC $18,000
Tag and Tackle Outfitters, LLC   2013 MO-SEC $5,500
Multicast Entertainment.TV Corp.   2014 MO-SEC $78,662
AJ&J Investment Group, Inc.   2014 MO-SEC $297,000
Cooper Financial Solutions, LLC   2014 MO-SEC $6,000
Section 8 Creations, Inc.   2014 MO-SEC $24,430
Novak & Powell Financial Services, Inc.   2014 MO-SEC $7,500
Cincinnati Analysts, Inc.   2014 MO-SEC $740,000
Earn Like a Pro, LLC   2014 MO-SEC $13,534
Trinity Capital Management, LLC   2014 MO-SEC $10,000
Peak Wealth Group, LLC   2014 MO-SEC $15,000
Virtual Mining Corp. and Active Mining Corp.   2015 MO-SEC $43,115
Securities Service Network, Inc. and SSN Advisory, Inc.   2015 MO-SEC $550,000
Dearborn Investment Fund, L.C.   2015 MO-SEC $35,250
The Davidan Corp. and Lajobejo, LLC   2015 MO-SEC $451,931
Storm Crow Investments, LLC   2015 MO-SEC $70,784
Ultimate Business Solutions, LLC   2015 MO-SEC $18,500
The Princeton Partnership, LLC   2015 MO-SEC $3,016,710
Hanson Holdings, LLC and IBS Investments, LLC   2015 MO-SEC $1,588,975
Cuprill Wealth Coaching, LLC   2015 MO-SEC $60,000
Parkland Securities, LLC   2015 MO-SEC $132,500
Successful Resource Management, Ltd.   2015 MO-SEC $5,500
MSM Capital Holdings, Inc.   2015 MO-SEC $155,000
Crossroads Asset Management, LLC   2015 MO-SEC $15,000
The Heroic Life Assurance Company, LLC   2015 MO-SEC $397,955
Ozark Investor's Group, LLC and Back 40 Group, Inc.   2015 MO-SEC $432,686
Pop-N-Go, Inc.   2015 MO-SEC $117,880
Liquid Equities Corp.   2015 MO-SEC $12,733
JAD-LJD Investments, L.L.C.   2015 MO-SEC $20,000
Agricola Associates, LLC   2015 MO-SEC $15,755
MacKenzie Realty Capital, Inc.   2015 MO-SEC $31,000
Gundacker/Jordan American Holdings, Inc.   2015 MO-SEC $51,230
First Option, LLC   2015 MO-SEC $55,647
AflacAssist.com, LLC   2015 MO-SEC $45,570
SPC Brands, Inc. and Spectrum Pet Care Inc. and Spectrum Pet Food, Inc.   2016 MO-SEC $109,290
Synergy Oil, LLC   2016 MO-SEC $97,264
MWA Financial Services, Inc.   2016 MO-SEC $15,000
FSG Fundraising, LLC   2016 MO-SEC $329,685
Ultra Global International, Inc.   2016 MO-SEC $200,000
SpotFN.com and Spot FN, LLC and Binary Holdings and Binary Academics   2016 MO-SEC $542,822
Allegiant Retirement Group   2016 MO-SEC $14,500
Central Missouri Energy, LLC   2016 MO-SEC $314,940
Assemblies of God Credit Union   2016 MO-SEC $20,000
State Wide Financial Services and Statewide Financial Services Inc.   2016 MO-SEC $38,436
Quantum Business Golf International, Inc. et al.   2016 MO-SEC $10,000
Mark VIII Holdings, LLC and International Mark VIII, LLC   2016 MO-SEC $121,225
Texas International Resources, L.L.C.   2016 MO-SEC $11,165
Moloney Securities Co., Inc.   2016 MO-SEC $18,000
CCRP Investments LLC   2016 MO-SEC $139,269
Riverside Lease, LLC   2016 MO-SEC $445,005
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
Penson Associates, LLC   2016 MO-SEC $480,487
Ernst & Associates, LLC   2016 MO-SEC $12,000
Pro Trader Institute, LLC and National Market Enterprises, Inc.   2016 MO-SEC $24,869
Bremen Investment Company, LLC and Harvest Marketplace, LLC   2016 MO-SEC $62,500
WealthCare, LLC   2016 MO-SEC $5,000
Oracle Forex Fund, LP   2016 MO-SEC $28,030
The Lampo Group, LLC   2016 MO-SEC $55,000
Lerona Impex SA   2016 MO-SEC $7,500
Heartland Capital Advisors, L.C.   2016 MO-SEC $6,000
Pike Financial Group, LLC   2016 MO-SEC $16,800
Zulutoys Limited   2016 MO-SEC $27,367
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Westpark Capital, Inc.   2017 MO-SEC $18,000
Mad Baby Pictures, LLC   2017 MO-SEC $15,000
Trader's Way   2017 MO-SEC $12,000
Personal Financial Group   2017 MO-SEC $5,000
Thunderstruck Investments Limited   2017 MO-SEC $122,092
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
MarketsTheWorld Limited   2017 MO-SEC $13,600
Stafford Financial Firm   2017 MO-SEC $1,162,422
Allied Trading Group   2017 MO-SEC $118,481
Whoistrustee.com Limited dba Binaryoptionrobot.com   2017 MO-SEC $104,100
Aspen Wealth Management, Inc.   2017 MO-SEC $20,000
Pharyn Resources, Inc.   2017 MO-SEC $33,000
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Renegade Investment Properties, Inc.   2017 MO-SEC $18,500
ABM Management, Inc. et al.   2017 MO-SEC $2,605,226
Investment Midwest LLC   2017 MO-SEC $836,936
Flash Forward Publications LLC   2017 MO-SEC $69,412
Assemblies of God Loan Fund   2017 MO-SEC $10,000
Industrial Realty Development, LLC   2017 MO-SEC $6,000
WFB Management Group, LLC   2017 MO-SEC $150,000
Elite Investment Advisors, LLC   2018 MO-SEC $20,000
Unity Oil & Gas   2018 MO-SEC $42,135
Akbar & Associates Legal Corp. and Integrity Benefits Solution Corp.   2018 MO-SEC $99,337
Rumelia Capital   2018 MO-SEC $150,400
Schaefer Wealth Management, Inc.   2018 MO-SEC $20,000
iPractice Group, Inc.   2018 MO-SEC $789,706
InnoVest Club, Inc. and WHYremote, Inc.   2018 MO-SEC $236,050
5A Holdings, LLC   2018 MO-SEC $3,548,483
Oakbridge Financial Services, Inc. and Private Label Money Management, Inc.   2018 MO-SEC $750,104
Baltic Fund   2018 MO-SEC $22,760
Mackrow Asset Management Group and Runnstarr Asset Management Group   2018 MO-SEC $7,372
JK Janitorial Software, LLC   2018 MO-SEC $138,401
Insight Investment Advisers LLC   2018 MO-SEC $8,000
Tropical Trade   2018 MO-SEC $137,109
Morgan Finances   2018 MO-SEC $76,058
Glenridge Capital   2018 MO-SEC $232,189
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
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.