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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 Parent Parent Major Industry Yearsort icon Agency Penalty Amount
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Highland Capital Group, Inc.   2019 CA-DFPI $270,000
Opes Capital Group, LLC   2019 CA-DFPI $15,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Pyramid Screening Technology, Inc.   2019 CA-DFPI $38,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
First Allied Securities, Inc. and First Allied Advisory Services, Inc.   2019 CT-SEC $49,266
Quarve Associates, LLC   2019 CT-SEC $7,500
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Prophet Financial Planning, LLC   2019 CT-SEC $10,000
Safe Harbour LLC   2019 CT-SEC $20,450
GHC Fund One LLC aka Gilbert Hill Fund I, LLC   2019 CT-SEC $100,000
Bermingham Wealth Strategies   2019 CT-SEC $100,000
Horter Investment Management, LLC   2019 CT-SEC $12,500
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
Derrick Management Inc.   2019 GA-SEC $25,000
212 Advisory Group, LLC   2019 GA-SEC $20,000
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Resonanceoptions   2019 GA-SEC $50,000
Performance Realty Management, LLC   2019 ID-SEC $570,800
Aggressive Lending Co.   2019 IL-SEC $5,000
WealthBuilders.Name LLC   2019 IL-SEC $10,000
Herzog Financial Group, LLC   2019 IL-SEC $6,150
CMB Export, LLC   2019 IL-SEC $125,000
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Abousaoui Financial, LLC   2019 IN-SEC $119,555
Cannon Operating Company, LLC   2019 IN-SEC $223,664
Secure Solutions, LLC   2019 KY-FIN $94,326
Ploutos Oil, LLC   2019 KY-FIN $120,000
Bolton Total Wealth Management and Spirited Funds, LLC   2019 KY-FIN $220,000
Wesleyan Investment Foundation, Inc.   2019 KY-FIN $11,250
Anabaptist Financial   2019 KY-FIN $5,500
United Planners' Financial Services of America   2019 MA-SEC $100,000
LPL Financial LLC LPL Financial financial services 2019 MA-SEC $1,100,000
Wells Fargo Clearing Services, LLC Wells Fargo financial services 2019 MA-SEC $450,000
StockCross Financial Services, Inc.   2019 MA-SEC $225,000
Strategic Planning Group, Inc.   2019 MA-SEC $225,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 MA-SEC $382,500
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 MA-SEC $150,000
Schmidt Baking Distribution, LLC   2019 MD-SEC $32,500
LPL Financial LLC LPL Financial financial services 2019 MD-SEC $499,000
Cabildo Capital, LLC   2019 MD-SEC $10,000
The Baltimore Land Trust Development Group, LP   2019 MD-SEC $15,000
The Calvary Group, LLC   2019 MD-SEC $35,000
CJB Trading, LLC and CJB Properties, LLC and CJB Homes, LLC   2019 MD-SEC $365,000
Sound Investment Equity, LLC   2019 MD-SEC $15,000
NYLIFE Securities LLC New York Life Insurance financial services 2019 ME-SEC $50,000
From The Sea To You Inc.   2019 ME-SEC $66,000
CapSource, Inc.   2019 MI-SEC $330,000
Independence Capital Co., Inc.   2019 MI-SEC $10,000
Mackrow Asset Management Group   2019 MI-SEC $100,000
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
CBIG CCS, LLC   2019 MI-SEC $20,000
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
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
Lougel Fadio LLC Mining COmpany (SL), Limited   2019 MS-SEC $322,461
Wellington Sports Club, LLC   2019 MS-SEC $61,270
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Grady and Associates, LLC   2019 NH-BSR $25,000
Genery Wealth Management, LLC   2019 NH-BSR $52,500
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NH-BSR $190,000
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Alight Financial Solutions, LLC   2019 NH-BSR $5,000
Berthel Fisher & Company Financial Services, Inc Berthel Fisher financial services 2019 NH-BSR $415,407
Concorde Investment Services, LLC   2019 NH-BSR $50,000
Scanwood Limited Inc. and AOS Inc.   2019 NH-BSR $92,342
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2019 NH-BSR $325,000
LeGall Holdings, Inc.   2019 NJ-BOS $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NJ-BOS $250,000
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
CW Group LLC   2019 OR-FIN $5,000
Platinum Trading Company   2019 OR-FIN $40,000
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
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.