Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
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
Catamount Strategic Advisors, LLC   2017 CA-DFPI $88,511
Macian Wealth Management, LLC   2017 CA-DFPI $34,236
Jalapenos Leadership Industries, LLC   2017 CA-DFPI $58,500
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
Alii Consulting   2017 CA-DFPI $15,000
RG Capital Management, LLC   2017 CA-DFPI $30,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Harbor Island Wealth Management   2017 CA-DFPI $5,000
Candide Group, LLC   2017 CA-DFPI $15,000
TechnoVision Management, LLC   2017 CA-DFPI $50,000
Continuum Financial Partners, LLC   2017 CA-DFPI $5,000
Lion Equity Investment Advisors   2017 CO-SEC $300,000
Walton Financial, LLC   2017 CO-SEC $150,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
High Trust Financial and Consulting, Inc.   2017 CO-SEC $150,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc.   2017 CO-SEC $50,000
GRAnderson Wealth Management Group Inc.   2017 CO-SEC $35,000
Conestoga Trust   2017 CO-SEC $40,000
Meyers Associates, L.P. nka Windsor Street Capital, L.P.   2017 CT-SEC $25,000
RPM Capital Management, LLC   2017 CT-SEC $10,400
Cantone Research Inc.   2017 CT-SEC $20,000
Omni View Capital LLC   2017 CT-SEC $150,000
Columbia Funds Series Trust   2017 CT-SEC $8,500
Tyrol Group, LLC, Native American Tyrol Energy, LLC   2017 CT-SEC $100,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Target Capital Management, LLC   2017 FL-OFR $18,000
Big Spring Gold, LLC   2017 FL-OFR $75,000
Changes Worldwide, LLC   2017 FL-OFR $150,000
Investment Planning, LLC   2017 GA-SEC $5,000
Cache Private Capital Diversified Fund LLC   2017 ID-SEC $25,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Allegis Investment Advisors, LLC   2017 ID-SEC $755,246
Garden State Securities, Inc.   2017 ID-SEC $10,000
Ten X Holdings, LLC   2017 IL-SEC $110,000
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2017 IL-SEC $270,000
NYLIFE Securities, LLC New York Life Insurance financial services 2017 IN-SEC $275,000
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Blue Crab Partners, LLC   2017 IN-SEC $5,000
Corporate I Communications & Technology, Inc.   2017 IN-SEC $25,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
High Powered Promotions, LLC et al.   2017 KY-FIN $206,000
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Majestic Management Corp.   2017 KY-FIN $123,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
Investment Professionals, Inc. Ameriprise Financial financial services 2017 MA-SEC $100,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
RAphi Capital Management, LLC   2017 MD-SEC $430,700
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2017 MD-SEC $100,000
Everest Investment Advisors, Inc.   2017 MD-SEC $195,000
Everest Wealth Management, Inc.   2017 MD-SEC $200,000
Sensuss, Inc.   2017 MD-SEC $85,000
J.J. Richardson, LLC   2017 MD-SEC $400,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Chandy Enterprises, LLC   2017 MD-SEC $16,500
CIT Investments, Ltd.   2017 ME-SEC $50,000
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
SF Investments, Inc.   2017 ME-SEC $5,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Creative Wealth Strategies, Inc.   2017 MI-SEC $40,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
Shaar 2, LLC   2017 MI-SEC $20,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
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.