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
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C   2011 AZ-SEC $5,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
Mack Financial Group, LLC   2011 AZ-SEC $215,902
The Investment Advisory Group, L.L.C.   2011 AZ-SEC $13,200
U.S. Media Team, LLC   2011 AZ-SEC $116,260
C-Street Financial Group et al.   2011 AZ-SEC $874,260
Capital Oil & Gas, Limited   2011 AZ-SEC $732,000
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc.   2011 CA-DFPI $2,840,868
Leland Energy, Inc. et al.   2011 CA-DFPI $1,417,477
Big Sky Motion Pictures, L.L.C. et al.   2011 CA-DFPI $185,000
Visionary Group Holdings, Inc.   2011 CA-DFPI $1,285,750
Santa Rita Partners, Inc.   2011 CA-DFPI $33,846
Alpine Pictures, Inc.   2011 CA-DFPI $100,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC   2011 CA-DFPI $150,000
Rome Finance Co. (GA), LLC   2011 CA-DFPI $250,000
Channel Investments et al.   2011 CA-DFPI $165,000
Epic Equitable, LLC   2011 CO-SEC $99,700
Life Enhancement Systems, LLC   2011 CO-SEC $77,543
Westrock Advisors, Inc.   2011 CT-SEC $250,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Salomon Whitney LLC   2011 CT-SEC $12,500
Spear Capital Management, Inc.   2011 CT-SEC $5,000
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Meyers Associates, L.P.   2011 CT-SEC $12,500
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
Air-Byrd Operations LLC   2011 CT-SEC $100,000
Air-Byrd/River Joint Venture   2011 CT-SEC $100,000
CherryHomes Joint Venture   2011 CT-SEC $100,000
MidAmerica Resources, Inc. aka MA Resources, Inc.   2011 CT-SEC $100,000
Regal Royalty Resource   2011 CT-SEC $100,000
Portfolio Timing Service dba PTS Asset Management   2011 CT-SEC $25,000
John Thomas Financial   2011 CT-SEC $20,000
Newbridge Securities Corp.   2011 CT-SEC $10,000
Newbury Street Capital Limited Partnership   2011 DC-DISB $5,590
Birmingham Investments and Birmingham Capital Advisors, LLC   2011 FL-OFR $117,500
Densmore Financial Group, Inc.   2011 ID-SEC $10,000
Impact, Inc. et al.   2011 ID-SEC $3,238,505
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
America's Best Financial Services, Inc.   2011 IL-SEC $7,500
Eagle Strategies LLC   2011 IL-SEC $21,500
Newbury Street Capital   2011 IL-SEC $5,825
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2011 IL-SEC $80,224
Senior Financial Strategies, Inc.   2011 IL-SEC $10,000
Stewart International Consultants, Ltd.   2011 IL-SEC $10,000
Mathews Logistics, LLC   2011 IL-SEC $10,000
Quad City Investment Advisors, LLC   2011 IL-SEC $23,000
The Maxim Group, LLC   2011 IL-SEC $60,000
City Capital Corp.   2011 IL-SEC $10,000
Clean Sweet Holdings Group, LLC   2011 IL-SEC $10,000
Sequoia Group, Inc.   2011 IL-SEC $11,500
LPL Financial, LLC LPL Financial financial services 2011 IL-SEC $250,000
The Matomi Group LLC   2011 IL-SEC $10,000
Alfaro Oil & Gas, LLC and Pinnacle Partners Financial Corp.   2011 IL-SEC $7,500
Tax Recovery Team   2011 IL-SEC $5,000
Kabarec Financial Advisors, Ltd.   2011 IL-SEC $37,000
Matthew Sapaula, Inc.   2011 IL-SEC $10,000
Fran Span Global, LLC et al.   2011 IL-SEC $5,000
Redbird Management Group   2011 IN-SEC $17,800
Provident Capital Management, Inc.   2011 IN-SEC $7,500
Edward D. Jones & Co., L.P. Jones Financial financial services 2011 IN-SEC $10,000
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
Trans World Animal Health, LLC   2011 IN-SEC $10,000
Global Wealth Investments, LLC   2011 IN-SEC $5,000
The McCormick Group, LLC   2011 IN-SEC $5,000
Retirement Planners of America, Inc.   2011 IN-SEC $555,614
Genesis Advisors, LLC   2011 IN-SEC $5,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
J.J.B. Hilliard, W.L. Lyons, LLC   2011 IN-SEC $87,250
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
Grabill Bank   2011 IN-SEC $9,000
State Bonding dba State Bonding California   2011 IN-SEC $1,425,000
Rockwell Gold Investments   2011 IN-SEC $20,000
Fidelity Brokerage Services LLC Fidelity Investments financial services 2011 IN-SEC $7,500
First Allied Advisory Services, Inc.   2011 IN-SEC $10,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
StatNet Corp.   2011 KY-FIN $15,000
IL Bridge Fund, LLC   2011 KY-FIN $10,000
Geo-Sensors/Re-Con Drilling & Exploration, Inc.   2011 KY-FIN $20,000
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
Haye Capital Group, LLC   2011 MD-SEC $250,000
Tropical Smoothie Franchise Development Corp.   2011 MD-SEC $10,000
Word Professional Institute   2011 MD-SEC $30,000
New Century Homes of Carolina, Inc.   2011 MD-SEC $660,000
PASCO Community Development Foundation, Inc.   2011 MD-SEC $30,000
Kitchen Concepts, Inc.   2011 MD-SEC $50,000
Crystal Victoria Corp. and PlatinumTech Corp.   2011 MD-SEC $100,000
The Endowment TEI Fund, L.P.   2011 MD-SEC $25,000
Infinite Equity Strategies, LLC   2011 MD-SEC $195,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
Financial Network Investment Corp.   2011 MO-SEC $42,260
MFA Incorporated   2011 MO-SEC $5,000
Capital Management Services, Inc.   2011 MO-SEC $5,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2011 MO-SEC $5,000
Guidepost Financial Limited Liability Company   2011 MO-SEC $5,000
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.