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
Bremen Investment Company, LLC and Harvest Marketplace, LLC   2016 MO-SEC $62,500
WealthCare, LLC   2016 MO-SEC $5,000
Oracle Forex Fund, LP   2016 MO-SEC $28,030
The Lampo Group, LLC   2016 MO-SEC $55,000
Lerona Impex SA   2016 MO-SEC $7,500
Heartland Capital Advisors, L.C.   2016 MO-SEC $6,000
Pike Financial Group, LLC   2016 MO-SEC $16,800
Zulutoys Limited   2016 MO-SEC $27,367
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 MS-SEC $4,743,815
SameDay Security, Inc.   2016 MS-SEC $8,000
Kairos Properties LLC   2016 MT-SEC $10,000
Four Points Capital Partners LLC   2016 MT-SEC $66,348
Cetera Investment Services LLC   2016 MT-SEC $50,000
GAWK Inc.   2016 MT-SEC $147,682
Youngevity International, Inc.   2016 MT-SEC $10,000
First Kentucky Securities Corporation   2016 NE-DBF $8,500
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 NE-DBF $40,000
ETF Trend Trading   2016 NH-BSR $25,997
Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2016 NH-BSR $35,000
Kestra Investment Services LLC   2016 NH-BSR $53,463
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 NH-BSR $30,800
Tidewater Financial Group PC   2016 NH-BSR $14,500
Used Apple Store   2016 NH-BSR $5,713
Blackbook Capital, LLC   2016 NH-BSR $5,000
Hanover Consumer Cooperative Society, Inc.   2016 NH-BSR $5,000
Waddell & Reed, Inc. Macquarie financial services 2016 NH-BSR $900,000
Trolice Consulting Services, LLC   2016 NJ-BOS $2,500,000
Vaccaro Consultant, LLC   2016 NJ-BOS $1,500,000
Cifuentes Fund Management, LLC   2016 NJ-BOS $2,000,000
Business Development Corporation of America   2016 OR-FIN $5,000
Richards, Merrill & Peterson, Inc.   2016 OR-FIN $15,000
Green Rush Consulting LLC   2016 OR-FIN $7,500
THC Pharmaceutical, Inc.   2016 OR-FIN $60,000
Addison Capital Co.   2016 PA-BKG $175,000
Bryan Funding Inc.   2016 PA-BKG $5,000
River Wealth Advisors LLC   2016 PA-BKG $50,000
Buchanan Capital LLC et al.   2016 PA-BKG $190,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 PA-BKG $10,000
Edward D. Jones & Co. LP Jones Financial financial services 2016 PA-BKG $135,000
Investors Capital Corp.   2016 PA-BKG $7,500
Lehman Capital Advisors LLC   2016 PA-BKG $100,000
Cobble Creek Group LLC   2016 PA-BKG $5,000
Legend Securities Inc.   2016 SC-SEC $300,000
IL Enterprises LLC   2016 SC-SEC $60,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 SC-SEC $175,000
Legend Securities Inc.   2016 SC-SEC $30,000
Branch Banking and Trust Company Truist Financial financial services 2016 SC-SEC $97,500
Boardroom Private Investment Group   2016 SC-SEC $10,000
Brooks Communications LLC   2016 SC-SEC $20,000
The Home Email Business Corp.   2016 TN-SEC $5,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
LPL Financial LLC LPL Financial financial services 2016 TX-SEC $95,000
Financial Consulting Services   2016 TX-SEC $15,000
Scottrade Inc. Charles Schwab Corp. financial services 2016 TX-SEC $100,000
Mowery Capital Management LLC   2016 TX-SEC $42,930
Fuller Capital Management   2016 TX-SEC $5,000
The Investment Center Inc.   2016 TX-SEC $50,000
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
Richards, Merrill & Peterson Inc.   2016 TX-SEC $30,000
Rubicon Investment Management & Analytics LLC   2016 TX-SEC $5,000
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
FULCRUM SECURITIES, LLC   2016 VA-SEC $91,954
CI FRANCHISE COMPANY, LLC   2016 VA-SEC $65,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
CHRISTIAN WEALTH MANAGEMENT, LLC   2016 VA-SEC $60,000
Key West Yogurt International, Inc.   2016 VA-SEC $547,750
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
BFK FRANCHISE COMPANY, LLC   2016 VA-SEC $35,500
Bambu IP, LLC, Bambu Desserts & Drinks, Inc.   2016 VA-SEC $84,500
Vasilios Community Development Corporation   2016 VA-SEC $250,000
YOFRESH YOGURTS FRANCHISING, INC.   2016 VA-SEC $205,000
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
Pelican's Snoballs VA LLC   2016 VA-SEC $15,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Wells Fargo Advisors LLC Wells Fargo financial services 2016 VT-FIN $300,000
Binary Banc   2016 WA-FIN $12,000
MiniHYA Corp.   2016 WA-FIN $12,000
Doing Business, Inc.   2016 WA-FIN $60,000
Research Money Management, LLC   2016 WA-FIN $32,000
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC   2016 WA-FIN $30,000
Iverson Genetic Diagnostics, Inc.   2016 WA-FIN $70,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 WA-FIN $55,000
Couch Oil & Gas, Inc.   2016 WA-FIN $21,500
Katana Capital, LLC   2016 WA-FIN $11,000
Southeast Investments, N.C., Inc.   2016 WA-FIN $30,000
All Wave Engineering, Inc.   2016 WA-FIN $15,000
Dystopia Rising, LLC   2016 WA-FIN $12,000
TreeFree Biomass Solutions, Inc.   2016 WA-FIN $20,000
The Investment Counsel, LLC   2016 WI-FIN $60,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services 2016 FINRA $4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services 2016 FINRA $3,500,000
RBS Securities, Inc. NatWest Group PLC financial services 2016 FINRA $2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2016 FINRA $1,500,000
LPL Financial LLC LPL Financial financial services 2016 FINRA $750,000
Georgeson Securities Corporation   2016 FINRA $650,000
PNC Capital Markets LLC PNC Financial Services financial services 2016 FINRA $50,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $3,250,000
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.