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
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
High Powered Promotions, LLC et al.   2017 KY-FIN $206,000
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Majestic Management Corp.   2017 KY-FIN $123,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
Investment Professionals, Inc. Ameriprise Financial financial services 2017 MA-SEC $100,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
RAphi Capital Management, LLC   2017 MD-SEC $430,700
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2017 MD-SEC $100,000
Everest Investment Advisors, Inc.   2017 MD-SEC $195,000
Everest Wealth Management, Inc.   2017 MD-SEC $200,000
Sensuss, Inc.   2017 MD-SEC $85,000
J.J. Richardson, LLC   2017 MD-SEC $400,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Chandy Enterprises, LLC   2017 MD-SEC $16,500
CIT Investments, Ltd.   2017 ME-SEC $50,000
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
SF Investments, Inc.   2017 ME-SEC $5,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Creative Wealth Strategies, Inc.   2017 MI-SEC $40,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
Shaar 2, LLC   2017 MI-SEC $20,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
Treasure Enterprise, LLC   2017 MI-SEC $40,000
Meadowbrook Investment Advisors, LLC   2017 MI-SEC $20,000
Genesis Fund, LLC   2017 MI-SEC $10,000
GenVest VI, LLC   2017 MI-SEC $10,000
Manaia Capital Management, Inc.   2017 MI-SEC $5,000
Legacy Planning & Associates, Inc.   2017 MI-SEC $5,000
Victory H2O Distribution, LLC   2017 MI-SEC $30,000
Life Organic Holdings, Inc.   2017 MN-FIN $5,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
First American Securities, Inc.   2017 MN-FIN $10,200
American Blast Systems, Inc.   2017 MN-FIN $5,000
Goldview Capital Management LP and Goldview Investment Group LLC   2017 MN-FIN $200,025
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
Westpark Capital, Inc.   2017 MO-SEC $18,000
Mad Baby Pictures, LLC   2017 MO-SEC $15,000
Trader's Way   2017 MO-SEC $12,000
Personal Financial Group   2017 MO-SEC $5,000
Thunderstruck Investments Limited   2017 MO-SEC $122,092
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
MarketsTheWorld Limited   2017 MO-SEC $13,600
Stafford Financial Firm   2017 MO-SEC $1,162,422
Allied Trading Group   2017 MO-SEC $118,481
Whoistrustee.com Limited dba Binaryoptionrobot.com   2017 MO-SEC $104,100
Aspen Wealth Management, Inc.   2017 MO-SEC $20,000
Pharyn Resources, Inc.   2017 MO-SEC $33,000
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Renegade Investment Properties, Inc.   2017 MO-SEC $18,500
ABM Management, Inc. et al.   2017 MO-SEC $2,605,226
Investment Midwest LLC   2017 MO-SEC $836,936
Flash Forward Publications LLC   2017 MO-SEC $69,412
Assemblies of God Loan Fund   2017 MO-SEC $10,000
Industrial Realty Development, LLC   2017 MO-SEC $6,000
WFB Management Group, LLC   2017 MO-SEC $150,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
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
Questar Capital Corporation   2017 ND-SEC $150,000
ABC Financial Planning   2017 NH-BSR $15,000
Legend Securities, Inc   2017 NH-BSR $167,950
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
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
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
Roran Enterprises   2017 NM-SEC $11,000
ACCA Enterprises LLC   2017 NM-SEC $10,000
R&J Financial Inc.   2017 OK-SEC $20,000
Service Team Inc. and Hallmark Venture Group Inc.   2017 OK-SEC $132,000
National Brokers of America Inc.   2017 OR-FIN $101,400
Cetera Advisors LLC   2017 OR-FIN $35,000
Cannacea LLC   2017 OR-FIN $40,000
Inland Pacific Energy Center LLC   2017 OR-FIN $35,000
One World Energy Advisors, LLC   2017 OR-FIN $30,000
Wall Private Wealth LLC   2017 PA-BKG $10,000
Iron Will Advisory Group   2017 PA-BKG $10,000
Elish & Elish Inc.   2017 PA-BKG $5,000
Woodbridge Structured Funding LLC   2017 PA-BKG $30,000
Private Advisor Group LLC   2017 PA-BKG $20,000
S.F. Ehrlich Associates Inc.   2017 PA-BKG $85,000
Newbridge Securities Corporation   2017 PA-BKG $499,000
Vasari Energy Inc.   2017 PA-BKG $7,500
A. Neff Associates   2017 PA-BKG $5,000
GJO Financial   2017 PA-BKG $5,000
Brandywine Financial Group Inc.   2017 PA-BKG $34,500
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
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.