Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$88,756,002,782
Number of Penalty Records: 
6,714
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$13,529,353,962112
UBS$11,680,437,33364
Citigroup$8,177,245,73064
Allianz$6,523,100,0007
JPMorgan Chase$6,210,421,20673
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


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
Independence Capital Co., Inc.   2019 MI-SEC $10,000
Mackrow Asset Management Group   2019 MI-SEC $100,000
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
CBIG CCS, LLC   2019 MI-SEC $20,000
AlphaQuest Partners LLC   2019 MN-FIN $10,000
Phoenix Asset Group, LLC   2019 MN-FIN $11,000
george DEAN LLC   2019 MN-FIN $11,000
Goldview Capital Management LP and Goldview Investment Group LLC   2019 MN-FIN $15,000
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
Perfection PR Firm, LLC   2019 MO-SEC $402,952
Trading Epic   2019 MO-SEC $148,335
Innovative Financial Solutions, LLC et al.   2019 MO-SEC $2,466,092
Becker, Jackson & Reed, LLC et al.   2019 MO-SEC $221,195
Capital-E Advisors, LLC   2019 MO-SEC $6,000
Lavender Farms, LLC   2019 MO-SEC $482,650
FFH Holdings, LLC   2019 MO-SEC $1,329,157
Orthogistic Labs, Inc. et al.   2019 MO-SEC $789,183
Beacon Wealth Advisory, LLC   2019 MO-SEC $15,000
Social Automotive Management Services, LLC et al.   2019 MO-SEC $561,629
Progress Marketing Management, LLC   2019 MO-SEC $27,645
Surgioscopy, LLC   2019 MO-SEC $50,000
The Stock Exchange Trading Company, LLC   2019 MO-SEC $28,379
Mavixbtc Ltd.   2019 MO-SEC $31,844
Lougel Fadio LLC Mining COmpany (SL), Limited   2019 MS-SEC $322,461
Wellington Sports Club, LLC   2019 MS-SEC $61,270
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Grady and Associates, LLC   2019 NH-BSR $25,000
Genery Wealth Management, LLC   2019 NH-BSR $52,500
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NH-BSR $190,000
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Alight Financial Solutions, LLC   2019 NH-BSR $5,000
Berthel Fisher & Company Financial Services, Inc Berthel Fisher financial services 2019 NH-BSR $415,407
Concorde Investment Services, LLC   2019 NH-BSR $50,000
Scanwood Limited Inc. and AOS Inc.   2019 NH-BSR $92,342
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2019 NH-BSR $325,000
LeGall Holdings, Inc.   2019 NJ-BOS $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NJ-BOS $250,000
LeMans Portfolio Design LLC   2019 OK-SEC $10,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
The Baker Group   2019 OK-SEC $15,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
CW Group LLC   2019 OR-FIN $5,000
Platinum Trading Company   2019 OR-FIN $40,000
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
RWM Asset Management LLC   2019 PA-BKG $20,000
Iron Valley Wealth Management LLC   2019 PA-BKG $5,000
Kestra Investment Services LLC   2019 PA-BKG $30,000
Klein Pavlis & Peasley Financial, Inc.   2019 PA-BKG $20,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
The McMahon Team LLC   2019 PA-BKG $10,000
A Better Financial Plan LLC   2019 PA-BKG $490,000
RCM Securities a/k/a SNC Capital Management Corporation   2019 PA-BKG $5,000
Primitive Methodist Investment Foundation, Inc.   2019 PA-BKG $100,000
Miraculum Inc.   2019 PA-BKG $60,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
LPL Financial LLC LPL Financial financial services 2019 SC-SEC $40,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Global Asset Management Group Inc.   2019 TX-SEC $7,500
Mintage Mining LLC et al.   2019 TX-SEC $25,000
Integrity RIA, LLC   2019 TX-SEC $12,500
LFS RIA, LLC   2019 TX-SEC $88,933
FRA Wealth Management LLC   2019 TX-SEC $20,000
Grove Capital Management Inc.   2019 TX-SEC $5,000
Lowell & Company Inc.   2019 TX-SEC $40,000
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
Lombard Advisers, Inc.   2019 VA-SEC $45,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Hartquist & Noblet, LLC   2019 VA-SEC $53,220
Moonlighting, Inc.   2019 VA-SEC $7,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Harvest Financial Group, LLC   2019 VA-SEC $7,500
World Trend Financial Planning Services, Ltd   2019 VA-SEC $40,000
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Slagel Investment Management   2019 VA-SEC $7,500
Lionsgate Investments, Incorporated   2019 VA-SEC $285,786
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Global Mining and Mint Corporation   2019 VT-FIN $125,000
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Retirement Base Camp   2019 WA-FIN $10,000
Urban Traffic   2019 WA-FIN $35,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Franchise Equity Group, Inc. and Franchise Equity Consortium   2019 WA-FIN $73,643
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
WebRotator, Inc.   2019 WA-FIN $65,000
New Wave Innovations Ltd.   2019 WA-FIN $12,500
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
Conestoga Settlement Services LLC   2019 WI-FIN $300,000
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.