Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
Imperium Advisors, LLC   2007 SEC $119,964
Temple Securities, Ltd.   2007 SEC $268,346
Vertical Capital Partners, Inc.   2007 SEC $490,432
Pacific Growth Equities, LLC   2007 SEC $425,000
Kelmoore Investment Company, Inc.   2007 SEC $100,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
MBIA, Inc. MBIA financial services 2007 NY-AG $25,000,000
Murtha Cullina LLP   2007 CT-AG $16,250,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 MD-AG $402,386
Gulftex Operating, Inc.   2007 AL-SEC $7,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
Realty Mortgage Corp.   2007 AR-SEC $12,500
Mid America Energy, Inc. et al.   2007 AZ-SEC $300,000
Warren Exploration, LLC   2007 AZ-SEC $122,000
Meta Funding, LLC   2007 AZ-SEC $1,299,900
Hardy Asset Management   2007 AZ-SEC $732,076
Sneva Alliance   2007 AZ-SEC $115,282
ACI Holdings, Inc.   2007 AZ-SEC $999,763
American Elder Group, L.L.C. and American Elder Group, Inc.   2007 AZ-SEC $1,245,403
Estate Protection Consultants, L.L.C.   2007 AZ-SEC $226,891
Agra Technologies, Inc.   2007 AZ-SEC $10,417,532
RYM Technology Holdings, L.L.C.   2007 AZ-SEC $25,000
Benchmark Financial Services, Inc.   2007 CA-DFPI $100,000
TransCoastal Partners, LLC   2007 CA-DFPI $25,000
Key Resource Group, LLC and Key Gas Corp. and Key Gas Holding, LLC   2007 CO-SEC $300,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
Millenco, L.L.C.   2007 CT-SEC $25,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Crystal Sky Enterprises, LLC   2007 CT-SEC $300,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
Great Eastern Securities, Inc.   2007 CT-SEC $600,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
ICG Financial, LLC   2007 CT-SEC $7,500
Advantage Capital Corp.   2007 CT-SEC $25,000
Tower Square Securities, Inc.   2007 CT-SEC $300,000
USAllianz Securities, Inc. nka Questar Capital Corp.   2007 CT-SEC $75,000
HCH Cypress, LLC   2007 CT-SEC $200,000
The McCall Business Group, LLC dba MBG Private Trading   2007 CT-SEC $220,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Branch Banco, Inc.   2007 FL-OFR $13,500
Lee County Acceptance Corp.   2007 FL-OFR $15,000
Seascape Management Co., LLC   2007 ID-SEC $23,000
EMI Sun Village, Inc. et al.   2007 ID-SEC $40,000
Impact, Inc. et al.   2007 ID-SEC $150,000
The BABCO Group, LLC   2007 ID-SEC $17,877
Unlimited Cash, Inc. and Douglas Network Enterprises   2007 IL-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2007 IL-SEC $40,000
Wunderlich Securities, Inc.   2007 IL-SEC $10,000
Infinex Investments, Inc.   2007 IL-SEC $10,100
Metro Suburban Realty   2007 IL-SEC $50,000
Petro-America Producing Oil & Gas Wells, Inc.   2007 IN-SEC $56,500
One World Enterprises, Inc.   2007 IN-SEC $222,500
Berry Resources, Inc.   2007 KY-FIN $5,000
Allied Syndications, Inc. dba Allied Energy Group   2007 KY-FIN $10,000
Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC   2007 KY-FIN $5,000
Damon's Restaurants, Inc.   2007 MD-SEC $10,000
Allegheny Investments, Ltd.   2007 MD-SEC $200,000
Winning Mortgages, LLC   2007 MD-SEC $20,000
American High Technology Center, Inc. and Kalimantan Mining, LLC   2007 MD-SEC $20,000
Rosewood Energy, LLC   2007 MD-SEC $150,000
International Energy and Resources, Inc.   2007 MD-SEC $75,000
Ardin Logistics, LLC   2007 MD-SEC $100,000
TAG Entertainment USA, Inc. et al.   2007 MD-SEC $380,000
Financial Sources, Inc.   2007 MD-SEC $25,000
Garden State Securities, Inc.   2007 ME-SEC $10,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
CRT Enterprises, LLC and Platinum Financial Advisors, LLC and Sterling-Meridian, LLC   2007 MO-SEC $63,194
Brookstreet Securities Corp.   2007 MO-SEC $20,950
Robert Olsen, P.C.   2007 MO-SEC $5,000
AFG Capital management, Inc.   2007 MO-SEC $11,870
Barrington Capital Management, Inc.   2007 MO-SEC $14,000
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
ROLFund.com and Crunkland Records, Ltd. and Crunkvest Ltd.   2007 MO-SEC $34,390
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Calivin Bird & Associates, LLC and Island Falls Financial, Inc.   2007 MO-SEC $14,605
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 MO-SEC $230,469
Great American Investors, Inc.   2007 MO-SEC $17,500
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
First Nevada Marketing, Inc.   2007 MO-SEC $12,165
Broadview Asset Management, LLC   2007 MO-SEC $5,500
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
Capital Funding Management, Inc.   2007 MO-SEC $10,165
Key West Investment Group, LLC and Key West Property & Devolopment, Inc.   2007 MO-SEC $103,400
Planet EV's Inc.   2007 MO-SEC $40,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2007 MS-SEC $12,500
MDM Energy   2007 MT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
Wachovia Securities LLC Wells Fargo financial services 2007 ND-SEC $75,000
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.