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
Nakami Chi Group Ministries International   2008 AZ-SEC $11,294,912
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Monterey Bay Securities, Inc.   2008 CA-DFPI $300,231
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DFPI $25,000
Cogar Financial Services, Inc.   2008 CA-DFPI $1,000,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DFPI $50,000
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
Managers Distributors, Inc.   2008 CT-SEC $350,000
New Castle Financial Services LLC   2008 CT-SEC $100,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Basic Investors Inc.   2008 CT-SEC $21,500
Key Resource Group, LLC   2008 CT-SEC $1,275,000
Java's Brewin Development, Inc.   2008 CT-SEC $30,000
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
Vision Travel, Inc. aka Global Vision Travel   2008 CT-SEC $115,000
Markland Technologies, Inc.   2008 CT-SEC $100,000
Capital Ventures LLC   2008 ID-SEC $5,020,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
Savant Capital Management, Inc.   2008 IL-SEC $11,500
Merit Inter Group Ltd.   2008 IL-SEC $50,000
TradeRight Corp.   2008 IL-SEC $10,000
ING Financial Partners, Inc. Voya Financial financial services 2008 IL-SEC $4,677,326
Members Capital Advisors, Inc.   2008 IL-SEC $12,500
GunnAllen Financial, Inc.   2008 IN-SEC $150,000
David A. Noyes & Company   2008 IN-SEC $30,000
Heartland Resources, Inc.   2008 IN-SEC $317,700
Mid-America Energy, Inc.   2008 KY-FIN $189,000
Questar Capital Corp.   2008 KY-FIN $54,668
Multiple One Group, Inc.   2008 KY-FIN $10,000
Voice, Video & Data Services, Inc.   2008 KY-FIN $10,000
Money Concepts Capital Corp.   2008 KY-FIN $5,000
Global Partners Capital   2008 MD-SEC $10,000
PSA Equities, Inc. and PSA Financial Advisors, Inc.   2008 MD-SEC $60,000
Alpine Petroleum, LLC and Red Earth Resources, Inc.   2008 MD-SEC $90,000
Phydea Equity Fund, LLC   2008 MD-SEC $890,000
ASM Financial Funding Corp.   2008 MD-SEC $200,000
Project Goshen, Inc.   2008 MD-SEC $63,000
TC & P Trade dba High Capital   2008 MD-SEC $270,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
Principal Investors Fund, Inc.   2008 MD-SEC $15,000
Energy Automation Systems, Inc.   2008 MD-SEC $100,000
JLR Group et al.   2008 MD-SEC $625,000
KH Funding Co.   2008 MD-SEC $15,000
Credit Solution and Financial Services, Inc.   2008 MD-SEC $25,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 MD-SEC $35,000
Telkonet, Inc. and Telkonet Communications, Inc.   2008 MD-SEC $25,000
Joe Karsner & Associates, LLC   2008 MD-SEC $50,000
Porta Office Cyber Cafe, LLC and Morgan Communications, Inc.   2008 MD-SEC $315,000
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
David J. Deschaine Installations, Inc.   2008 ME-SEC $75,000
Thomas G. Grace Advisors   2008 MN-FIN $5,000
S3, Inc.   2008 MN-FIN $6,000
Puritan Securities Inc.   2008 MN-FIN $12,000
R.A.M. Developments, LLC   2008 MO-SEC $25,000
Financial Solutions & Associates, Inc.   2008 MO-SEC $5,954
Cobble Creek Homes, LLC   2008 MO-SEC $42,200
Central Missouri Commodities, Inc.   2008 MO-SEC $65,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Andrew Garrett, Inc.   2008 MO-SEC $15,000
R.C. Transport, LLC   2008 MO-SEC $11,563
Guardian Financial Group, LLC   2008 MO-SEC $10,000
UMB Financial Services, Inc.   2008 MO-SEC $43,000
Commerce Brokerage Services, Inc.   2008 MO-SEC $525,000
New Century Investments, LLC   2008 MO-SEC $565,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 MS-SEC $150,000
Wisdom, Inc.   2008 MS-SEC $314,500
Brookstreet Securities Corp.   2008 MS-SEC $15,000
Rothschild Investment Corp.   2008 MT-SEC $5,000
Concord Equity Group Advisors   2008 MT-SEC $150,000
Mid-America Energy, Inc.   2008 MT-SEC $317,513
Ashmore Family Foundation   2008 ND-SEC $65,223
Rothschild Investment Corporation   2008 ND-SEC $15,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Raglin Industries LLC et al.   2008 OK-SEC $50,000
Waddell & Reed Inc. Macquarie financial services 2008 OK-SEC $10,000
GunnAllen Financial Inc.   2008 OK-SEC $7,500
Precious Oro Resources LLC et al.   2008 OK-SEC $1,212,818
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
Hannah Street Consulting Inc.   2008 RI-FIN $5,000
BTS Securities Corporation   2008 RI-FIN $15,694
Carolina Linkages Inc. dba Carolinks   2008 SC-SEC $100,000
International Wealth Management Inc.   2008 TX-SEC $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 TX-SEC $400,000
Select Asset Management LLC   2008 TX-SEC $7,500
EDI Financial Inc.   2008 TX-SEC $17,500
SWS Financial Services Inc.   2008 TX-SEC $35,000
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
IMS Securities Inc.   2008 TX-SEC $10,000
SMH Capital Inc.   2008 TX-SEC $30,000
LPL Financial Corporation LPL Financial financial services 2008 TX-SEC $5,000
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
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.