Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
AFT Logistics, LLC nka Equity One Contractors LLC   2018 CT-SEC $20,000
Endeavor Management Solutions, LLC   2018 CT-SEC $100,000
Allied Energy, Inc. fka Allied Syndications, Inc.   2018 CT-SEC $10,000
SE Ohio Shale & Oriskany Development   2018 CT-SEC $10,000
Leland Energy, Inc.   2018 CT-SEC $100,000
Leland Tennessee Holdings, Inc.   2018 CT-SEC $100,000
Opportunity Drilling & Acquisition Fund, LLP   2018 CT-SEC $100,000
Romano Brothers and Company   2018 CT-SEC $5,040
S P Consulting, LLC   2018 CT-SEC $7,500
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
LDI Holdings and TME Group Holdings   2018 GA-SEC $126,000
The Undetectables Movie, LLC   2018 GA-SEC $50,000
CSG Wealth Management   2018 GA-SEC $5,000
Blazefly, Inc.   2018 IA-INS $186,968
Straight Line Investment Group LLC   2018 ID-SEC $8,000
First Financial Tax Group   2018 ID-SEC $5,750
KA Investments, Inc.   2018 ID-SEC $4,011,806
Conestoga Settlement Trust et al.   2018 ID-SEC $30,000
Lockhart and Rosenburg, Inc.   2018 IL-SEC $40,000
Simon Greene Investment Advisory Firm   2018 IL-SEC $90,000
Resources Planning Group, Inc.   2018 IL-SEC $5,000
Alumin USA, Ltd.   2018 IL-SEC $100,000
QBITI, LLC   2018 IL-SEC $20,000
B.T.A. International, Inc.   2018 IL-SEC $117,000
Pocketinns, Inc.   2018 IL-SEC $8,000
Legacy Wealth Management   2018 IN-SEC $5,000
Hardwick Capital Management, LLC   2018 IN-SEC $42,984
LPL Financial, LLC LPL Financial financial services 2018 IN-SEC $450,000
M Holdings Securities, Inc.   2018 KY-FIN $5,000
Mann Capital Management, LLC   2018 KY-FIN $10,000
Encore Energy, Inc.   2018 KY-FIN $20,000
Infinex Investments, Inc.   2018 MA-SEC $125,000
Capital Investment Group, Inc.   2018 MA-SEC $50,000
SII Investments, Inc.   2018 MA-SEC $50,000
CarrierEQ, Inc. dba AirFox   2018 MA-SEC $100,000
MetLife, Inc. MetLife financial services 2018 MA-SEC $1,000,000
Summit Equities, Inc.   2018 MA-SEC $100,000
Mid-Atlantic Financial, LLC et al.   2018 MD-SEC $1,200,000
Mongolian Gold Standard, LLC   2018 MD-SEC $40,000
Daekyo America, Inc.   2018 MD-SEC $15,000
High Point Wealth Management   2018 MD-SEC $3,990,000
First Nationle Solution, LLC   2018 MD-SEC $435,000
Caffebene, Inc.   2018 MD-SEC $5,000
Premier Marketing Solutions, LLC   2018 MD-SEC $20,000
Columbia Financial Advisors LLC   2018 MD-SEC $20,000
Best Western International, Inc.   2018 MD-SEC $297,000
The New Wealth, LLC and Main Street Estate Group, Inc. and Jenny DB Properties, LLC   2018 MD-SEC $3,999,715
Option Mint   2018 ME-SEC $5,000
Kensington I.P. Limited   2018 ME-SEC $5,000
H. Beck, Inc.   2018 ME-SEC $10,000
Salem Advisory Group LLC   2018 ME-SEC $5,000
Saltwater Harbor Financial, LLC   2018 ME-SEC $50,000
Real Estate Man LLC   2018 ME-SEC $5,000
Goldeneye Asset Management, LLC   2018 MI-SEC $5,000
Zuvan Technologies, Inc.   2018 MI-SEC $30,000
Dreamakers, LLC   2018 MI-SEC $90,000
Royal Securities Co. and Royal Advisers, LLC   2018 MI-SEC $5,000
Scott Schultz Closed-End Funds, Inc.   2018 MI-SEC $10,000
Goeken Group Corp.   2018 MI-SEC $6,000
Blockweather Holdings, LLC   2018 MI-SEC $60,000
Wedgewood Properties, LLC   2018 MI-SEC $60,000
CoreCap Investments, LLC   2018 MI-SEC $20,000
Percipience, LLC   2018 MI-SEC $10,000
GenVest III, LLC   2018 MI-SEC $10,000
First Nationle Solution, LLC   2018 MI-SEC $10,000
GenVest VII, LLC   2018 MI-SEC $10,000
Wesleyan Investment Foundation, Inc.   2018 MI-SEC $20,000
Career Development Services International, LLC   2018 MN-FIN $20,000
Safe Harbor Retirement Solutions, LLC   2018 MN-FIN $40,000
Titan Trade Club   2018 MN-FIN $10,000
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
LPL Financial LLC LPL Financial financial services 2018 MS-SEC $40,000
FSC Securities Corp.   2018 MT-SEC $151,000
Alexander Capital, L.P.   2018 MT-SEC $206,339
Rydex Distributors, Inc.   2018 NH-BSR $150,000
State Street Bank and Trust Company State Street Corp. financial services 2018 NH-BSR $325,000
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
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2018 NH-BSR $983,284
Flagship Harbor Advisors, LLC   2018 NH-BSR $10,000
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
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
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.