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
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
ARRG Corp.   2016 SEC $410,753
Equinox Fund Management, LLC   2016 SEC $400,000
Everhart Financial Group, Inc.   2016 SEC $305,407
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Credit Suisse Securities Credit Suisse financial services 2016 NY-AG $30,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2016 NY-AG (*) $37,000,000
State Street Bank and Trust Co. State Street Corp. financial services 2016 MA-AG (*) $75,500,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
First Kentucky Securities Corp.   2016 AL-SEC $12,500
ClearPoint Capital Management, LLC   2016 AL-SEC $327,026
McDonald Partners LLC   2016 AR-SEC $15,000
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
Marchant International Resources, Inc.   2016 AZ-SEC $1,841,513
Franklin AAA Holdings, LLC   2016 AZ-SEC $62,426
Renaissance Management, LLC et al.   2016 CA-DFPI $20,275,000
Bird Rock Management, LLC et al.   2016 CA-DFPI $45,000
Bellingham Investment Management   2016 CA-DFPI $64,120
Beryl Capital Management, LLC   2016 CA-DFPI $45,000
Rama Capital Partners, LLC   2016 CA-DFPI $10,000
Preferred Spectrum Investments, LLC et al.   2016 CO-SEC $25,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
Rio National Insurance Services, Inc.   2016 CO-SEC $790,719
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Rockingham Capital Advisors LLC   2016 CT-SEC $5,160
Trade-PMR Inc.   2016 CT-SEC $75,000
Harbor Vista Wealth Management LLC   2016 CT-SEC $25,000
RNT Wealth Management LLC   2016 CT-SEC $100,000
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
Silver Oak Securities, Inc.   2016 CT-SEC $35,000
David Lerner Associates, Inc.   2016 CT-SEC $5,000
Broadreach Capital, LLC   2016 FL-OFR $6,000
Carhart Capital Management, LLC   2016 FL-OFR $46,500
Sine Capital, Inc.   2016 FL-OFR $5,000
Tatco Private Wealth Management LLC   2016 FL-OFR $7,500
Brookes Ventures, LLC dba Aulterra International   2016 ID-SEC $30,000
UCI Wealth Advisors LLC   2016 ID-SEC $19,700
LT Solutions Corp.   2016 IL-SEC $5,000
C22 Capital, Inc.   2016 IL-SEC $10,000
Sports Dimensions, Inc.   2016 IL-SEC $20,000
Jack V. Butterfield Investment Co.   2016 IL-SEC $10,957
Lanier Properties, Inc.   2016 IL-SEC $10,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
Rainmaker Securities, Inc.   2016 IL-SEC $26,000
Lakshmi Wealth Management LLC et al.   2016 IL-SEC $66,941
Elite Group Financial, LLC   2016 IL-SEC $5,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
European Assets, Inc.   2016 IL-SEC $15,000
MK Investments, LLC   2016 IN-SEC $13,500
JPMorgan Chase & Co. JPMorgan Chase financial services 2016 IN-SEC $905,000
Legacy Outdoors, Inc.   2016 IN-SEC $6,000
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 IN-SEC $950,000
Legacy Practice Management, LLC   2016 IN-SEC $5,000
Newbridge Securities Corp.   2016 KY-FIN $7,476
Famous Characters, LLC   2016 MD-SEC $20,000
Redrhino, Inc.   2016 MD-SEC $7,500
Bambu Desserts and Drinks, Inc.   2016 MD-SEC $5,000
Capital Investment Group, Inc.   2016 MD-SEC $500,000
Diplomat Consulting Services, LLC   2016 MI-SEC $30,000
IBA Consulting, LLC   2016 MI-SEC $20,000
Scorsesi Makeup, LLC   2016 MI-SEC $20,000
Park City Distributors   2016 MI-SEC $30,000
Flying G Racing   2016 MI-SEC $10,000
Wedgewood Properties, LLC   2016 MI-SEC $5,000
OE Capital Ventures, LLC   2016 MI-SEC $30,000
PercentPlus A Limited Liability Co.   2016 MI-SEC $10,000
Tauban, Inc.   2016 MI-SEC $20,000
Agape Global Investments Corp.   2016 MI-SEC $10,000
Harbinger Asset Management, L.L.C.   2016 MI-SEC $50,000
JAC Investments, LLC   2016 MI-SEC $20,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 MI-SEC $900,000
OSAD, LLC   2016 MI-SEC $20,000
River East Financial, Ltd.   2016 MI-SEC $40,000
Cunningham Energy, LLC   2016 MI-SEC $20,000
Ascension Energy Group, Inc.   2016 MI-SEC $60,000
Leland Energy, Inc.   2016 MI-SEC $80,000
Patriots Energy Group, Inc.   2016 MI-SEC $40,000
SPC Brands, Inc. and Spectrum Pet Care Inc. and Spectrum Pet Food, Inc.   2016 MO-SEC $109,290
Synergy Oil, LLC   2016 MO-SEC $97,264
MWA Financial Services, Inc.   2016 MO-SEC $15,000
FSG Fundraising, LLC   2016 MO-SEC $329,685
Ultra Global International, Inc.   2016 MO-SEC $200,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2016 MO-SEC $850,000
SpotFN.com and Spot FN, LLC and Binary Holdings and Binary Academics   2016 MO-SEC $542,822
Allegiant Retirement Group   2016 MO-SEC $14,500
Central Missouri Energy, LLC   2016 MO-SEC $314,940
Assemblies of God Credit Union   2016 MO-SEC $20,000
State Wide Financial Services and Statewide Financial Services Inc.   2016 MO-SEC $38,436
Quantum Business Golf International, Inc. et al.   2016 MO-SEC $10,000
Mark VIII Holdings, LLC and International Mark VIII, LLC   2016 MO-SEC $121,225
Texas International Resources, L.L.C.   2016 MO-SEC $11,165
Moloney Securities Co., Inc.   2016 MO-SEC $18,000
CCRP Investments LLC   2016 MO-SEC $139,269
Riverside Lease, LLC   2016 MO-SEC $445,005
PIF Financial Services, LLC and Premier Mortgage Solutions, LLC   2016 MO-SEC $1,378,510
Penson Associates, LLC   2016 MO-SEC $480,487
Ernst & Associates, LLC   2016 MO-SEC $12,000
Pro Trader Institute, LLC and National Market Enterprises, Inc.   2016 MO-SEC $24,869
Bremen Investment Company, LLC and Harvest Marketplace, LLC   2016 MO-SEC $62,500
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.