Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC   2017 SEC $100,937
Capital Financial Partners, LLC et al.   2017 SEC $15,700,000
Train, Babcock Advisors LLC   2017 SEC $1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management   2017 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp.   2017 SEC $536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc.   2017 SEC $80,000
Horter Investment Management, LLC   2017 SEC $778,804
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Institutional Investor Advisers, Inc.   2017 SEC $200,000
Brahman Capital Corp.   2017 SEC $250,000
Gray Financial Group, Inc.   2017 SEC $401,298
Millennium Management LLC   2017 SEC $638,709
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
Canterbury Consulting, Inc.   2017 SEC $172,986
Loop Capital Markets, LLC   2017 SEC $25,000
Success Holding Group International, Inc.   2017 SEC $139,737
SIX Financial Information USA Inc.   2017 SEC $107,707
LBMZ Securities, Inc.   2017 SEC $240,000
VisionPoint Advisory Group, LLC   2017 SEC $45,000
360 Financial, Inc.   2017 SEC $40,000
TRH Financial LLC   2017 SEC $35,000
Sagent Wealth Management, LLC   2017 SEC $181,110
Platinum Equity Advisors, LLC Platinum Equity private equity (including portfolio companies) 2017 SEC $3,402,132
Howarth Financial Services, LLC   2017 SEC $203,444
JL Capital Management   2017 SEC $278,289
Potomac Asset Management Company, Inc   2017 SEC $300,000
Envoy Advisory, Inc.   2017 SEC $51,892
Municipal Finance Services, Inc.   2017 SEC $50,000
O'Connor & Company Securities, Inc.   2017 SEC $150,000
Vertical Capital Asset Management, LLC   2017 SEC $9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.   2017 SEC $4,400,000
Institutional Investors Advisory Company   2017 SEC $843,187
Capital Dynamics, Inc.   2017 SEC $275,000
Coachman Energy Partners LLC   2017 SEC $941,507
Cadaret and Grant & Co., Inc.   2017 SEC $3,048,000
Columbia River Advisors, LLC   2017 SEC $80,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $200,000
Bradway Financial, LLC and Bradway Capital Management, LLC   2017 SEC $150,000
Umbrella Research, LLC   2017 SEC $16,676
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SEC $552,086
Paramount Group Real Estate Advisor LLC   2017 SEC $250,000
Landwin Management, LLC   2017 SEC $75,000
Bantry Bay Capital, LLC   2017 SEC $100,000
Resilience Management, LLC   2017 SEC $250,000
Wm Smith & Co.   2017 SEC $50,000
Bonwick Capital Partners, LLC   2017 SEC $50,000
New York REIT, Inc. and New York Recovery Advisors, LLC   2017 SEC $165,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Tellone Management Group, Inc.   2017 SEC $75,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.   2017 SEC $22,614,534
William Blair & Company, L.L.C.   2017 SEC $4,500,000
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Lebenthal & Co., LLC   2017 SEC $150,000
Wilson-Davis & Company, Inc.   2017 SEC $310,713
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
Lion Biotechnologies, Inc.   2017 SEC $100,000
Lawson Financial Corporation   2017 SEC $396,652
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Cygs, LLC   2017 SEC $60,879
Covenant Financial Services, LLC   2017 SEC $144,845
Louis Capital Markets, LP   2017 SEC $2,500,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
MKJJ Consulting LLC   2017 SEC $2,973,916
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2017 SEC $300,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Angel Oak Capital Partners, LLC   2017 SEC $3,666,370
Lone Star Value Management and Heartland Advisors   2017 SEC $300,000
Columbia Management Investment Services Corp. Ameriprise Financial financial services 2017 SEC $250,000
Jaypee International, Inc.   2017 SEC $25,000
Jeffrey Slocum & Associates, Inc.   2017 SEC $300,000
Olde Monmouth Stock Transfer Co., Inc.   2017 SEC $126,183
Palestra Capital Management LLC   2017 SEC $180,968
Mer Telemanagement Solutions Ltd.   2017 SEC $50,000
Centre Partners Management, LLC   2017 SEC $50,000
Essex Financial Services, Inc.   2017 SEC $183,181
Berman & Company, P.A.   2017 SEC $25,000
Citigroup Global Markets, Inc. Citigroup financial services 2017 NY-AG $23,500,000
David Lerner Associates, Inc.   2017 NJ-AG $650,000
Edge Trading, LLC   2017 NJ-AG $1,000,000
Everest Wealth Management, Inc.   2017 MD-AG $255,000
Garden State Securities Inc.   2017 NJ-AG $275,000
LPL Financial, LLC LPL Financial financial services 2017 NJ-AG $975,000
Pershing Square Capital Management   2017 MULTI-AG $145,000,000
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Codawn Consulting Corp., Sentinel Capital Corp.   2017 AK-DBS $125,000
Morgan Keegan & Co. Raymond James Financial financial services 2017 AL-SEC $20,000
Regal Securities, Inc.   2017 AR-SEC $36,879
First Standard Financial Company, LLC   2017 AR-SEC $10,000
Simply Smart Homes, LLC and Smart Enterprises, LLC   2017 AZ-SEC $123,750
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Hawkins Wealth Advisory LLC   2017 AZ-SEC $19,028
Infinity Fuels, Inc.   2017 AZ-SEC $47,795
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Tri-Core Companies, LLC et al.   2017 AZ-SEC $4,822,311
Wohl Capital Investment Group, LLC   2017 AZ-SEC $37,918
LoanGo Corp.   2017 AZ-SEC $265,000
Believing in Jesus Investments, LLC   2017 AZ-SEC $270,050
Caesar Investments, LLC   2017 AZ-SEC $472,378
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.