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
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
Huntleigh Securities Corporation   2004 ND-SEC $8,000
Third Ridge Capital LP   2005 ND-SEC $5,000
Assemblies of God Loan Fund   2005 ND-SEC $10,000
I2U Inc.   2006 ND-SEC $150,000
LAS International Ltd.   2007 ND-SEC $10,400
Ashmore Family Foundation   2008 ND-SEC $65,223
Rothschild Investment Corporation   2008 ND-SEC $15,000
Pelican Development L.L.C.   2009 ND-SEC $20,000
Montgomery, Goff & Bullis P.C.   2009 ND-SEC $30,000
RAHFCO Management Group LLC   2010 ND-SEC $14,000
Inland National Securities Inc.   2013 ND-SEC $24,000
Landolt Securities Inc.   2014 ND-SEC $20,000
Panda Trucking LLC   2015 ND-SEC $19,400
Questar Capital Corporation   2017 ND-SEC $150,000
Kinetics Mutual Funds Inc.   2002 NE-DBF $6,547
Bruce Fund, Inc.   2006 NE-DBF $17,500
Shields Capital Corporation   2010 NE-DBF $5,180
QA3 Financial Corporation   2010 NE-DBF $22,500
Rasmusson Financial Group, Inc.   2011 NE-DBF $12,500
Richards, Merrill & Peterson, Inc.   2015 NE-DBF $8,500
First Kentucky Securities Corporation   2016 NE-DBF $8,500
Pennichuck Corporation   2004 NH-BSR $230,000
Spartan Capital Securities LLC   2012 NH-BSR $17,500
Ballentine Partners LLC   2012 NH-BSR $175,000
Team Resources Inc. and School Creek Production and Development Fund I   2012 NH-BSR $12,500
McLean Asset Management Corporation   2012 NH-BSR $45,300
Focus Capital Wealth Management Inc.   2013 NH-BSR $20,000
Spartan Capital Securities LLC   2013 NH-BSR $40,000
III to I Emerging Market Partners Real Estate Investment Fund I, LP   2013 NH-BSR $5,000
III to I Maritime Partners Cayman I, L.P.   2013 NH-BSR $5,000
J.D. Nicholas & Associates   2013 NH-BSR $40,000
ACL Alternative Fund Limited   2013 NH-BSR $5,000
Johnston Capital Partners Fund I L.P.   2013 NH-BSR $5,000
JonesTrading Institutional Services LLC   2013 NH-BSR $30,000
REB Financial   2013 NH-BSR $24,900
Recycled Asphalt Shingle Technology LLC   2013 NH-BSR $10,000
Aegis Capital LLC   2013 NH-BSR $45,000
Western Realty Investments LLC   2014 NH-BSR $6,750
Saliba Managed Funds Inc.   2014 NH-BSR $55,000
Investors Capital Corporation   2014 NH-BSR $125,000
Ensconce Data Technology Inc.   2014 NH-BSR $12,500
lntellicloud Holdings, Inc.   2014 NH-BSR $32,000
Front Row Ticket Agency Inc.   2015 NH-BSR $27,500
Halliday Financial   2015 NH-BSR $5,000
J.D. Nicholas & Associates   2015 NH-BSR $10,000
Interinvest Corp.   2015 NH-BSR $544,085
Profile Club Inc.   2015 NH-BSR $5,000
R.M. Neilio & Associates Fiscal Advisors   2015 NH-BSR $6,500
Cooper Capital, Inc.   2015 NH-BSR $25,000
Harmony Health Care Institute, Inc   2015 NH-BSR $7,500
ETF Trend Trading   2016 NH-BSR $25,997
Kestra Investment Services LLC   2016 NH-BSR $53,463
Tidewater Financial Group PC   2016 NH-BSR $14,500
Used Apple Store   2016 NH-BSR $5,713
Blackbook Capital, LLC   2016 NH-BSR $5,000
Hanover Consumer Cooperative Society, Inc.   2016 NH-BSR $5,000
ABC Financial Planning   2017 NH-BSR $15,000
Legend Securities, Inc   2017 NH-BSR $167,950
Richard A. Norkun & Associates, LLC   2017 NH-BSR $5,000
Ceros Financial Services, Inc.   2017 NH-BSR $400,000
Alternative Asset Management Securities, LLC   2017 NH-BSR $5,000
Rydex Distributors, Inc.   2018 NH-BSR $150,000
Windsor Street Capital, LP   2018 NH-BSR $5,000
Strudwick Wealth Strategies, Inc.   2018 NH-BSR $280,000
Renaissance Institutional Management   2018 NH-BSR $5,000
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
Flagship Harbor Advisors, LLC   2018 NH-BSR $10,000
Grady and Associates, LLC   2019 NH-BSR $25,000
Genery Wealth Management, LLC   2019 NH-BSR $52,500
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Alight Financial Solutions, LLC   2019 NH-BSR $5,000
Concorde Investment Services, LLC   2019 NH-BSR $50,000
Scanwood Limited Inc. and AOS Inc.   2019 NH-BSR $92,342
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
White Birch Brewing LLC   2020 NH-BSR $5,000
GT Advanced Technologies Inc.   2020 NH-BSR $50,000
Peanut Butter Better Co. and ZAP Products Corp.   2012 NJ-BOS $269,750
Pro-Tech Enterprises, LLC   2012 NJ-BOS $35,000
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
Carr Miller Capital, LLC   2013 NJ-BOS $2,340,000
Osiris Fund Limited Partnership and Osiris Partners, LLC   2014 NJ-BOS $54,600,000
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
ANS Enterprises, LLC   2014 NJ-BOS $453,138
IGF Consulting, LLC   2014 NJ-BOS $160,000
Dexter Group, LLC   2014 NJ-BOS $65,000
Metropolitan Ambulatory Surgical Center LLC and MGK Holdings LLC   2014 NJ-BOS $5,500,000
White Cedar Group, LLC   2014 NJ-BOS $2,000,000
Access Capital Education & Services Co. Inc. et al.   2015 NJ-BOS $1,000,000
Black Diamond Capital Appreciation Fund, L.P. et al.   2015 NJ-BOS $2,500,000
Saber Funds, LLC et. al.   2015 NJ-BOS $7,282,500
Trolice Consulting Services, LLC   2016 NJ-BOS $2,500,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
Cifuentes Fund Management, LLC   2016 NJ-BOS $2,000,000
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
NJLI Advisors L.L.C.   2018 NJ-BOS $100,000
JMI Associates LLC and JB Financial Resources   2018 NJ-BOS $750,000
Mirakill Brands, LLC   2018 NJ-BOS $100,000
Financial Planning Advisors, LLC   2018 NJ-BOS $500,000
LeGall Holdings, Inc.   2019 NJ-BOS $500,000
Roran Enterprises   2017 NM-SEC $11,000
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.