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
TSP Capital Management Group, LLC   2020 SEC $60,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
1Globe Capital, LLC   2020 SEC $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Biltmore International Corporation   2020 SEC $125,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Eagle Strategies LLC   2020 SEC $101,090
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
Boenning & Scattergood, Inc.   2020 SEC $205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
Naya Ventures, LLC   2020 SEC $40,000
BMA Securities, LLC   2020 SEC $333,537
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Navellier & Associates, Inc.   2020 SEC $37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
International Investment Group, LLC   2020 SEC $35,000,000
The Lighthouse Events, LLC   2020 SEC $3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc.   2020 SEC $236,314
Hologram USA Networks Inc.   2020 SEC $22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
ICOBox   2020 SEC $16,059,428
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DFPI $52,047
Piara Pizza, LLC   2020 CA-DFPI $35,000
Trademark INT PTT AB   2020 CA-DFPI $7,500
Amada Franchise, Inc.   2020 CA-DFPI $10,000
Annett & Associates   2020 CO-SEC $7,000
North American Drilling Corporation   2020 CT-SEC $100,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Native American Energy Group, Inc.   2020 CT-SEC $100,000
Great Heritage Investments, LLC   2020 CT-SEC $20,000
ARO Equity, LLC   2020 CT-SEC $300,000
Wynn Investments LLC   2020 FL-OFR $7,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Brooke's Ventures LLC   2020 ID-SEC $20,000
Pinnacle Plus Capital LLC   2020 ID-SEC $18,423
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
Sunset Capital Assets, Inc.   2020 KY-FIN $45,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 KY-FIN $325,000
FWG Investments LLC   2020 KY-FIN $50,000
Game Designs LLC   2020 KY-FIN $60,000
Beauty Supply Institute, LLC   2020 MD-SEC $10,000
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
ASI Capital, LLC et al.   2020 MI-SEC $5,000
Severn Funding & Investment Ltd.   2020 MI-SEC $20,000
Heartland Production and Recovery, LLC   2020 MI-SEC $20,000
LA Developers, LLC   2020 MI-SEC $30,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2020 MI-SEC $50,000
Cannas Capital, LLC   2020 MI-SEC $10,000
BC Holdings and Investments, LLC   2020 MI-SEC $20,000
Mintage Mining, LLC   2020 MI-SEC $20,000
SLB Creations, Inc.   2020 MI-SEC $10,000
Schuster Financial LLC   2020 MN-FIN $20,000
Monex Deposit Company et al.   2020 MN-FIN $10,000
Pathway Advisors Group   2020 MO-SEC $11,000
Safe Money Millionaire et al.   2020 MO-SEC $97,429
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Drake Investment Options LLC   2020 MO-SEC $101,806
TMTE, Inc., a/k/a Chase Metals, LLC   2020 MO-SEC $38,000
Ferry Capital Management LLC   2020 NC-SEC $60,000
The Source   2020 NC-SEC $5,000
White Birch Brewing LLC   2020 NH-BSR $5,000
GT Advanced Technologies Inc.   2020 NH-BSR $50,000
Solium Financial Services LLC Morgan Stanley financial services 2020 NH-BSR $90,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
99 Crossings LLC   2020 OR-FIN $50,000
Lumentrades Financial Incorporated   2020 OR-FIN $50,000
Starline Solutions, LLC   2020 OR-FIN $20,000
Strategic Capital Holdings, LLC et al.   2020 OR-FIN $120,000
Trickling Springs Creamery, LLC   2020 PA-BKG $4,375,000
Lirio LLC   2020 TN-SEC $8,000
Jones Wealth Management, LLC   2020 TN-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 TX-SEC $600,000
Woodland Resources LLC et al.   2020 TX-SEC $20,000
LendingClub Corporation LendingClub Corp. financial services 2020 TX-SEC $400,000
Lorintine Capital LP   2020 TX-SEC $10,000
Challenger Wealth Management   2020 TX-SEC $5,000
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
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.