Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
Ether Investment and Trading Group, LLC   2021 MD-AG $140,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 MA-SEC $4,000,000
Cornerstone Asset Metals, LLC   2021 MN-FIN $10,225
Langmore Capital, LLC   2021 MN-FIN $10,225
First United Reserve, LLC   2021 MN-FIN $10,000
Swiss America Trading Corp.   2021 MN-FIN $15,292
Cutting Edge Supplements, LLC   2021 MO-SEC $107,853
Monarch Capital Investment Fund, LLC   2021 MO-SEC $763,958
WCO Holdings, LLC   2021 MO-SEC $100,000
Brendaleetrades.com   2021 MO-SEC $76,692
Green Clinic, LLC   2021 MO-SEC $52,000
Golden Genesis, Inc. dba Nuplasma   2021 MO-SEC $1,610,904
Duke and Duke LLC   2021 NJ-BOS $130,473
Intercapital Management Ltd.   2021 NJ-BOS $852,500
Intercapital Partners LLC   2021 NJ-BOS $161,250
Intercapital Partners Ltd.   2021 NJ-BOS $964,400
Sunshine 61 Trust LLC   2021 NJ-BOS $45,000
Legacy Investment Advisors, LLC   2021 PA-BKG $25,000
Divi-Vest Advisors, Inc.   2021 PA-BKG $10,000
Superior Investment Performance Inc. dba Everyield Investments   2021 PA-BKG $15,000
Luminary Capital, LLC   2021 PA-BKG $25,000
Aptus Financial, LLC   2021 PA-BKG $5,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2021 SEC $863,326
Regal Investment Advisors LLC   2021 SEC $846,774
BFC Planning, Inc.   2021 SEC $305,811
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2021 SEC $389,425
App Annie Inc.   2021 SEC $10,000,000
ProSky, Inc.   2021 SEC $4,700,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc.   2021 SEC $539,000,000
DBRS, INC.   2021 SEC $1,000,000
Rothschild Investment Corporation   2021 SEC $2,471,667
JW Korth & Company L.P.   2021 SEC $176,533
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 SEC $2,109,458
Diastole Wealth Management, Inc.   2021 SEC $100,000
Paradigm Wealth Advisory, LLC   2021 SEC $440,103
Frontier Wealth Management, LLC   2021 SEC $658,712
Pareteum Corporation   2021 SEC $500,000
McDonald Partners, LLC   2021 SEC $194,682
Cetera Advisor Networks LLC et al.   2021 SEC $300,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc.   2021 SEC $250,000
KMS Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $200,000
Cantella & Co., Inc.   2021 SEC $701,630
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $200,000
Educators Financial Services, Inc.   2021 SEC $790,365
Crews & Associates Inc.   2021 SEC $244,072
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc.   2021 SEC $1,957,053
Northwest Advisors, Inc.   2021 SEC $245,000
SoFi Wealth, LLC   2021 SEC $300,000
Murchinson Ltd.   2021 SEC $8,878,183
ISC Advisors, Inc.   2021 SEC $716,345
Poloniex LLC   2021 SEC $10,388,309
Blockchain Credit Partners   2021 SEC $12,849,354
Prosperity Economics Partners LLC and Partners for Prosperity LLC   2021 SEC $275,000
National Beverage Corp. National Beverage Corp. beverages 2021 SEC $481,920
USA Financial Securities Corporation   2021 SEC $249,455
First Heartland Consultants, Inc.   2021 SEC $1,045,528
Paycom Software, Inc. Paycom Software information technology 2021 SEC $250,000
Herbert J. Sims & Co., Inc.   2021 SEC $250,000
Integral Financial, LLC   2021 SEC $85,000
Coburn & Meredith, Inc   2021 SEC $299,340
Canton Hathaway LLC   2021 SEC $25,000
Carmel Capital Management LLC   2021 SEC $25,000
Castle Wealth Planning LLC   2021 SEC $25,000
Cohen Klingenstein LLC   2021 SEC $97,523
Dynamic Trading Management LLC   2021 SEC $10,000
Eastside Financial Advisors LLC   2021 SEC $10,000
Embree Financial Group Inc.   2021 SEC $97,523
Harold Davidson & Associates Inc.   2021 SEC $25,000
John A. Bysko Associates   2021 SEC $25,000
Madden Funds Management Ltd.   2021 SEC $25,000
Medallion Wealth Advisors LLC   2021 SEC $25,000
Mighty Oak Strong America Investment Company   2021 SEC $25,000
Minot DeBlois Advisors LLC   2021 SEC $97,523
O'Brien Greene & Co. Inc.   2021 SEC $25,000
Paratus Financial Inc.   2021 SEC $97,523
Quantitative Asset Management LLC   2021 SEC $25,000
Sauberan & Company LLC   2021 SEC $10,000
Summit Financial Advisors Inc.   2021 SEC $25,000
The Cavanaugh Group Inc.   2021 SEC $50,000
Westbourne Investments Inc.   2021 SEC $25,000
Bill Parker Agency   2021 SEC $10,000
Birkelbach & Co.   2021 SEC $10,000
Capital Portfolio Management Inc.   2021 SEC $25,000
Greentree Investment Services Inc.   2021 SEC $10,000
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
Tradier Brokerage Inc.   2021 SEC $50,000
First Capital Real Estate Investments, LLC   2021 SEC $3,876,400
UBS Financial Services Inc. UBS financial services 2021 SEC $8,112,174
Cascade Investment Group, Inc   2021 SEC $125,000
Blotics Ltd   2021 SEC $201,687
Momentus Inc.   2021 SEC $7,000,000
Stable Road Acquisition Company   2021 SEC $1,000,000
Kestra Private Wealth Services, LLC   2021 SEC $299,569
Kestra Advisory Services, LLC   2021 SEC $10,003,172
Hilltop Securities Inc. Hilltop Holdings financial services 2021 SEC $340,193
PLS, CPA   2021 SEC $73,028
St. Germain Investment Management, Inc.   2021 SEC $1,925,250
Parallax Health Sciences Inc.   2021 SEC $100,000
Westport Capital Markets, LLC   2021 SEC $1,320,761
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $1,750,000
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research   2021 SEC $83,582
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.