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
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
Perfection PR Firm, LLC   2019 MO-SEC $402,952
Trading Epic   2019 MO-SEC $148,335
Innovative Financial Solutions, LLC et al.   2019 MO-SEC $2,466,092
Becker, Jackson & Reed, LLC et al.   2019 MO-SEC $221,195
Capital-E Advisors, LLC   2019 MO-SEC $6,000
Lavender Farms, LLC   2019 MO-SEC $482,650
FFH Holdings, LLC   2019 MO-SEC $1,329,157
Orthogistic Labs, Inc. et al.   2019 MO-SEC $789,183
Beacon Wealth Advisory, LLC   2019 MO-SEC $15,000
Social Automotive Management Services, LLC et al.   2019 MO-SEC $561,629
Progress Marketing Management, LLC   2019 MO-SEC $27,645
Surgioscopy, LLC   2019 MO-SEC $50,000
The Stock Exchange Trading Company, LLC   2019 MO-SEC $28,379
Mavixbtc Ltd.   2019 MO-SEC $31,844
Pathway Advisors Group   2020 MO-SEC $11,000
Safe Money Millionaire et al.   2020 MO-SEC $97,429
Drake Investment Options LLC   2020 MO-SEC $101,806
TMTE, Inc., a/k/a Chase Metals, LLC   2020 MO-SEC $38,000
Minnesota Mutual Life Insurance Co. and Ascend Financial Services   2001 MS-SEC $550,000
Williamson Poultry Farms, Inc.   2002 MS-SEC $5,000
Brixon Group   2004 MS-SEC $50,000
MTW Investment Financing, LLC   2005 MS-SEC $10,000
Consumer Concepts Investments, Inc.   2006 MS-SEC $15,000
Crossroads Media, Inc.   2006 MS-SEC $25,000
Positive News Increase, Inc.   2006 MS-SEC $25,000
Mowdy Financial, LLC   2006 MS-SEC $10,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MS-SEC $25,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
Wisdom, Inc.   2008 MS-SEC $314,500
Brookstreet Securities Corp.   2008 MS-SEC $15,000
Brookshire Securities Corp.   2009 MS-SEC $225,000
Malachi Financial, LLC   2012 MS-SEC $12,500
Lampton Street Church Financial Services, Inc. and Lampton Street Church of Christ, Inc.   2010 MS-SEC $54,954
Cambridge Investment Research, Inc.   2012 MS-SEC $6,500
Watkins Development, LLC   2014 MS-SEC $680,131
Sanders Morris Harris Inc.   2014 MS-SEC $35,000
Medicaid Planning Specialists, Inc.   2014 MS-SEC $26,200
SameDay Security, Inc.   2016 MS-SEC $8,000
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
Lougel Fadio LLC Mining COmpany (SL), Limited   2019 MS-SEC $322,461
Wellington Sports Club, LLC   2019 MS-SEC $61,270
Montana Hedge Partners, LP   2005 MT-SEC $150,000
W & R Insurance Agency of Montana, Inc.   2005 MT-SEC $25,000
Summit Brokerage Services, Inc.   2006 MT-SEC $198,020
Ryan Beck & Co. and Ryan Beck Life Agency, Inc.   2006 MT-SEC $150,000
Ameriplan USA Corp.   2006 MT-SEC $200,000
MDM Energy   2007 MT-SEC $5,000
Rothschild Investment Corp.   2008 MT-SEC $5,000
Concord Equity Group Advisors   2008 MT-SEC $150,000
Mid-America Energy, Inc.   2008 MT-SEC $317,513
Financial Assets Corp.   2010 MT-SEC $11,794
Style N'Tile International   2010 MT-SEC $1,596,750
NobelTrading.com   2010 MT-SEC $6,943
Global Sports Marketing Corp.   2010 MT-SEC $1,700,242
Fortune Hi-Tech Marketing, Inc.   2010 MT-SEC $150,000
Strasbourger Pearson Tulcin Wolff Inc.   2010 MT-SEC $92,000
Loveless Wealth management, LLC   2011 MT-SEC $5,000
Constellation Wealth Advisors LLC   2011 MT-SEC $150,000
Cornerstone Financial Corp. and K&B Investments, LLC   2012 MT-SEC $266,000
Funky Shark, LLC   2012 MT-SEC $30,000
Lawson Financial Corp.   2013 MT-SEC $10,660
Delano & Morgenroth Investment Advisors, LLC   2013 MT-SEC $5,000
Chelsea Financial Services   2013 MT-SEC $312,524
Financial America Securities, Inc.   2013 MT-SEC $6,769
Close to My Heart, Inc.   2014 MT-SEC $5,000
Kannaway, LLC   2014 MT-SEC $5,000
Seacret Direct, LLC   2014 MT-SEC $5,000
Nutrie, LLC   2014 MT-SEC $5,000
Lawson Financial Corp.   2015 MT-SEC $5,000
PHX Financial, Inc.   2015 MT-SEC $142,488
Glacier Wealth, Inc.   2015 MT-SEC $10,000
TelexFREE, Inc.   2015 MT-SEC $15,000
TelexFREE, LLC   2015 MT-SEC $15,000
Meyers Associates, L.P.   2015 MT-SEC $33,531
Kairos Properties LLC   2016 MT-SEC $10,000
Four Points Capital Partners LLC   2016 MT-SEC $66,348
Cetera Investment Services LLC   2016 MT-SEC $50,000
GAWK Inc.   2016 MT-SEC $147,682
Youngevity International, Inc.   2016 MT-SEC $10,000
Halen Capital   2017 MT-SEC $5,000
Universal Stock Transfer, Ltd.   2017 MT-SEC $56,852
Joseph Stone Capital, LLC   2017 MT-SEC $30,000
Elite Business Strategies   2017 MT-SEC $82,200
FSC Securities Corp.   2018 MT-SEC $151,000
Alexander Capital, L.P.   2018 MT-SEC $206,339
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Ferry Capital Management LLC   2020 NC-SEC $60,000
The Source   2020 NC-SEC $5,000
Linsco Private Ledger Corp.   2000 ND-SEC $25,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Bison Capital Inc.   2001 ND-SEC $5,000
BrokerageAmerica Inc.   2001 ND-SEC $5,000
First Montauk Securities Corporation   2002 ND-SEC $7,000
Carret Securities LLC   2002 ND-SEC $29,000
American Capital Corporation   2002 ND-SEC $8,000
MDVIP Inc.   2003 ND-SEC $5,000
US Petroleum LLC   2003 ND-SEC $14,000
CGF Securities LLC   2003 ND-SEC $5,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-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.