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
Roran Enterprises   2017 NM-SEC $11,000
ACCA Enterprises LLC   2017 NM-SEC $10,000
B&B Worm Farm   2002 OK-SEC $16,400
Cherokee Energy Company LLC   2003 OK-SEC $10,000
Sunset Financial Group Inc. et al.   2004 OK-SEC $304,664
DCS Resources Inc.   2005 OK-SEC $24,000
FR&J Investments Group Corp.   2005 OK-SEC $14,350
Spelman & Co. Inc.   2007 OK-SEC $15,000
Raglin Industries LLC et al.   2008 OK-SEC $50,000
GunnAllen Financial Inc.   2008 OK-SEC $7,500
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
T.S. Phillips Investment Inc.   2010 OK-SEC $5,000
Keystone Equity Group Inc.   2011 OK-SEC $20,000
Lloyds Capital Group LLC   2011 OK-SEC $7,500
Gibraltar Precious Metals Corp.   2011 OK-SEC $20,573
Buy Car Notes.com Inc. et al.   2012 OK-SEC $45,000
The O.N. Equity Sales Company   2012 OK-SEC $10,000
RAF Operating LLC   2013 OK-SEC $5,000
Arvest Asset Management   2013 OK-SEC $20,000
Premier Capital LLC   2013 OK-SEC $10,000
Equity Associates LLC   2013 OK-SEC $42,500
Pentecost Capital Management Inc.   2015 OK-SEC $5,000
E.J. Sterling LLC   2015 OK-SEC $5,000
R&J Financial Inc.   2017 OK-SEC $20,000
Service Team Inc. and Hallmark Venture Group Inc.   2017 OK-SEC $132,000
Wilshire-Pennington Group Inc.   2018 OK-SEC $25,000
LeMans Portfolio Design LLC   2019 OK-SEC $10,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
The Baker Group   2019 OK-SEC $15,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
Laser Vision Technologies Inc.   2000 OR-FIN $5,000
The Sheffield Group   2000 OR-FIN $25,000
The Rhodes Company   2000 OR-FIN $7,500
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
Prosper Trust   2000 OR-FIN $5,000
High Tech Travel Services Corporation   2000 OR-FIN $25,000
San Clemente Securities   2000 OR-FIN $10,000
Energy Group International Inc.   2001 OR-FIN $5,000
Arizona Metro Direct Information Services Inc.   2001 OR-FIN $23,500
Skylink Telecommunications Corp.   2001 OR-FIN $25,000
Northwest Communications Inc.   2001 OR-FIN $50,000
Full Power Group Inc.   2001 OR-FIN $25,000
Courant Consulting Group Inc.   2001 OR-FIN $25,000
21 Century Power   2001 OR-FIN $25,000
Data Technology Group   2002 OR-FIN $15,000
Las Vegas 220 SMR   2002 OR-FIN $15,000
Westminster Holdings Ltd et al.   2002 OR-FIN $15,000
Taramar Venture Capital LLC et al.   2002 OR-FIN $55,000
Leading Solutions Inc.   2002 OR-FIN $20,000
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
Caffe Diva Group Ltd et al.   2002 OR-FIN $75,000
U.S. Securities Intl. Corp.   2002 OR-FIN $10,000
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
GBS Funding   2003 OR-FIN $25,000
National Equipment Providers LLC   2003 OR-FIN $50,000
Spa Marketing LLC   2003 OR-FIN $50,000
Omni Advisor Group Inc.   2004 OR-FIN $15,000
Mansfield Corporation et al.   2004 OR-FIN $120,000
First Liberty Financial   2005 OR-FIN $5,000
Northwest Paytele Communications Inc.   2005 OR-FIN $25,000
Brookstreet Securities Corporation Inc.   2005 OR-FIN $9,000
Blackwell Donaldson & Company   2005 OR-FIN $40,000
Unlimited Cash Inc.   2006 OR-FIN $100,000
Douglas Network Enterprises Inc.   2006 OR-FIN $100,000
Ruttenberg and Associates MVP Inc.   2006 OR-FIN $75,000
Childcare Seekers Onestop Inc.   2006 OR-FIN $15,000
Corporate Executives Inc.   2007 OR-FIN $100,000
Redwood Trust   2007 OR-FIN $23,000
Bountiful LLC   2007 OR-FIN $23,000
Ultimate Ventures Inc.   2007 OR-FIN $60,000
Yucatan Resorts dba Avalon Resorts   2008 OR-FIN $300,000
Resort Holdings International Inc.   2008 OR-FIN $300,000
World Phantasy Tours   2008 OR-FIN $300,000
Ruttenberg and Associates Financial Marketing Inc.   2008 OR-FIN $300,000
Alpha Energy Inc. and Alliance Resources Group Inc.   2008 OR-FIN $480,000
Gigapix Studios Inc.   2008 OR-FIN $5,000
REI Exchange LLC and TMG Ventures Inc.   2009 OR-FIN $150,000
Bank Watch   2010 OR-FIN $220,000
MBS Clearing   2010 OR-FIN $200,000
Treasure Heart Financial Counseling   2011 OR-FIN $5,000
Pacific Network and Consulting   2011 OR-FIN $280,000
Lifeline Imaging LLC   2011 OR-FIN $280,000
Consulting Dynamics   2011 OR-FIN $120,000
International Business Development Ltd.   2011 OR-FIN $25,000
Cutler Investment Counsel, LLC   2011 OR-FIN $5,000
BAK Ventures, Inc.   2011 OR-FIN $20,000
Eljay Investment Company   2012 OR-FIN $5,000
Castle Advisers, LLC   2012 OR-FIN $5,000
Resource Trading Group Inc.   2012 OR-FIN $97,500
Freeman Capital Management, LLC   2012 OR-FIN $5,000
Capital Guardian Inc.   2012 OR-FIN $20,000
Lincoln Highlands Limited Partnership   2012 OR-FIN $5,000
Hobo Prince Economic Project, LLC et al.   2012 OR-FIN $1,000,000
True North Productions, LLC   2012 OR-FIN $400,000
Safe Systems, Inc.   2012 OR-FIN $10,000
Genesis Holdings Group, Inc. and Phoenix Development Group, Inc.   2012 OR-FIN $10,000
Philippine Gold Importation Venture   2012 OR-FIN $10,000
Terra Firma Investments, Inc.   2012 OR-FIN $200,000
WCM Financial Services and Equity Options, Inc.   2013 OR-FIN $30,000
CFG Solutions, LLC   2013 OR-FIN $30,000
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.