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$13,535,778,962113
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
Henley & Company Wealth Management LLC   2019 SEC $36,866
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
IC Advisory Services Inc.   2019 SEC $1,195,186
Independent Financial Group LLC   2019 SEC $1,426,150
Investment Partners Ltd.   2019 SEC $43,384
IPG Investment Advisors LLC   2019 SEC $85,294
Michigan Advisors Inc.   2019 SEC $327,976
Saxony Capital Management LLC   2019 SEC $230,220
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Founders Financial Securities, LLC   2019 SEC $1,475,465
Outset Global LLP   2019 SEC $207,409
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Nebulous, Inc.   2019 SEC $224,601
Mid Atlantic Financial Management, Inc.   2019 SEC $300,000
Longfin Corp.   2019 SEC $6,755,848
Cutting Edge Business Services, Inc.   2019 SEC $273,336
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
Mylan N.V. Viatris pharmaceuticals 2019 SEC $30,000,000
Omgeo Matching Services US, LLC   2019 SEC $2,000,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Harding Advisory LLC   2019 SEC $850,000
Pinnacle Companies, LLC   2019 SEC $1,112,000
Three Bridge Wealth Advisors, LLC   2019 SEC $60,000
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
ECP Manager LP   2019 SEC $122,656
BrixInvest, LLC   2019 SEC $300,000
Cetera Investment Advisers LLC   2019 SEC $185,000
Hefren-Tillotson, Inc.   2019 SEC $379,965
Strong Investment Management   2019 SEC $1,061,157
Strategic Planning Group, Inc.   2019 SEC $200,000
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
HCR Wealth Advisors   2019 SEC $220,000
The Bancorp, Inc.   2019 SEC $1,400,000
Sigma Planning Corp.   2019 SEC $2,546,718
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Vandham Securities Corp.   2019 SEC $200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC   2019 SEC $250,000
ED Capital Management, LLC   2019 SEC $75,000
Bio Defense Corp.   2019 SEC $37,475,717
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
Blockchain of Things Inc.   2019 SEC $250,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Palm Beach Atlantic Financial Group, LLC   2019 SEC $75,000
Global Corporate Strategies LLC   2019 SEC $4,120,000
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Bluefin Trading, LLC   2019 SEC $303,638
Critical Trading, LLC   2019 SEC $219,092
Stonemor Partners L.P. and Stonemor GP LLC   2019 SEC $250,000
Kornitzer Capital Management, Inc.   2019 SEC $3,626,995
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
Prominence Homes, LLC   2019 AL-SEC $100,000
Paul Winkler, Inc.   2019 AL-SEC $62,954
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
Crews and Associates, Inc.   2019 AR-SEC $5,000
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Alexander Capital, L.P.   2019 AR-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
QVG, LLC   2019 AR-SEC $8,000
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Partisan Alliance Corp.   2019 AZ-SEC $103,000
JG Enterprise, LLC   2019 AZ-SEC $19,772
BAIC, Inc.   2019 AZ-SEC $2,004,649
SoBell Corp.   2019 AZ-SEC $779,450
IDIAZ, LLC   2019 AZ-SEC $113,000
Wealth Creator Private Equity, LLC   2019 AZ-SEC $35,000
Native American Water, L.L.C. dba NATAWA et al.   2019 AZ-SEC $5,874,215
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC   2019 AZ-SEC $27,801,783
Skytrace, Inc.   2019 AZ-SEC $147,500
Trager, L.L.C.   2019 AZ-SEC $50,000
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Highland Capital Group, Inc.   2019 CA-DFPI $270,000
Opes Capital Group, LLC   2019 CA-DFPI $15,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Pyramid Screening Technology, Inc.   2019 CA-DFPI $38,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
First Allied Securities, Inc. and First Allied Advisory Services, Inc.   2019 CT-SEC $49,266
Quarve Associates, LLC   2019 CT-SEC $7,500
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Prophet Financial Planning, LLC   2019 CT-SEC $10,000
Safe Harbour LLC   2019 CT-SEC $20,450
GHC Fund One LLC aka Gilbert Hill Fund I, LLC   2019 CT-SEC $100,000
Bermingham Wealth Strategies   2019 CT-SEC $100,000
Horter Investment Management, LLC   2019 CT-SEC $12,500
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
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.