« Return to search form

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
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
Reye Partners Asset Management, LLC   2020 VA-SEC $6,000
HealthSource Chiropractic, Inc.   2020 VA-SEC $89,000
My Choice Hair, LLC   2020 VA-SEC $7,000
Capitol Securities Management, Inc.   2020 VA-SEC $100,000
SNC Capital Management Corporation d/b/a RCM Securities   2020 VA-SEC $5,000
Best Western International, Inc.   2020 VA-SEC $13,000
Master Networks, LLC   2020 VA-SEC $8,000
Skrimp Shack LLC   2020 VA-SEC $25,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Thornton Investment Management PLLC   2020 VT-FIN $30,000
Account Management LLC   2020 VT-FIN $80,000
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Merrill Lynch Bank of America financial services 2020 VT-FIN $125,000
3D Money, LLC et al.   2020 WA-FIN $13,312
Rhino Linings Corp.   2020 WA-FIN $5,937
Fortpoint Investment Management   2020 WA-FIN $83,600
Rchain Cooperative   2020 WA-FIN $65,000
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
TMTE, Inc. aka Metals.com aka Chase Metals, Inc.   2020 AK-DBS $700,000
Maximo Natural Products, Inc.   2020 AZ-SEC $353,751
Western Gateway Region Rural Broadband Company, Inc   2020 AZ-SEC $15,000
Edge Financial Technologies, LLC   2020 CFTC $145,200
OANDA Corporation   2020 CFTC $500,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
New York Mercantile Exchange (NYMEX)   2020 CFTC $4,000,000
Southwest Group, LLC   2020 CFTC $75,000
Plutus Financial, Inc. d/b/a Abra   2020 CFTC $150,000
Perfection PR Firm LLC   2020 CFTC $1,296,572
Foremost Trading LLC   2020 CFTC $923,013
Cunningham Commodities, LLC   2020 CFTC $250,000
VOS Capital Management, LLC   2020 CFTC $3,813,875
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC   2020 CO-SEC $50,000
Mosaic Financial Strategies LLC and Mosaic Portfolio Strategists, LLC   2020 CT-SEC $1,390,000
Monitor Capital, LLC   2020 CT-SEC $6,720
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 CT-SEC $400,000
Insurance Trends, Inc.   2020 CT-SEC $100,000
TPEG Securities, LLC   2020 CT-SEC $8,950
Solium Financial Services LLC Morgan Stanley financial services 2020 FL-OFR $79,045
Selway Asset Management Inc.   2020 ID-SEC $10,000
Wells Fargo & Co. Wells Fargo financial services 2020 MD-AG $20,000,000
Driver Opportunity Partners I, LP and Driver Management Company, LLC   2020 MD-FIN $9,500
Costa Playa Uno, LLC   2020 MD-SEC $725,000
Costa Reit Partners LLC et al.   2020 MD-SEC $8,700,000
Monterey Del Pacifico Partners LLLP   2020 MD-SEC $9,880,000
Strudwick & Associates, Inc.   2020 MD-SEC $1,000,000
Caldwell Sutter Capital Inc.   2020 ME-SEC $6,936
MGMC, LP   2020 MI-SEC $20,000
Banner Co-op, Inc.   2020 MI-SEC $15,000
CBIG CCS, LLC   2020 MI-SEC $20,000
Cannabis Plus Missouri, L.L.C. and Can Plus Mo Investments   2020 MO-SEC $11,016
Pocketinns, Inc.   2020 NJ-BOS $100,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Evesham Capital Management   2020 PA-BKG $125,000
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
MFG Investments, LLC   2020 PA-BKG $15,000
Solium Financial Services LLC Morgan Stanley financial services 2020 PA-BKG $52,372
MAC Business Services, Ltd. and BTB Investments, LLC   2020 PA-BKG $150,000
H I Management Services Inc.   2020 SC-SEC $5,500
Randomwalk Innovations, LLC   2020 SC-SEC $5,000
USI-Tech Limited   2020 SC-SEC $50,000
Independent Financial Group, LLC   2020 SD-SEC $18,750
Solium Financial Services LLC Morgan Stanley financial services 2020 SD-SEC $5,750
Northern Trust Hedge Fund Services LLC Northern Trust financial services 2020 SEC $167,629
WCAS Management Corporation   2020 SEC $100,000
Gilder Gagnon Howe & Co. LLC   2020 SEC $1,700,000
Navian Capital Securities LLC   2020 SEC $40,000
Coordinated Capital Securities, Inc.   2020 SEC $581,961
Unikrn Inc.   2020 SEC $6,100,000
Park View School, Inc.   2020 SEC $30,000
Roosevelt & Cross, Inc.   2020 SEC $1,017,015
Graham, Bordelon and Golson & Gilbert, Inc.   2020 SEC $176,399
SQN Capital Management, LLC   2020 SEC $75,000
Signature Financial Services, Ltd.   2020 SEC $276,580
National Financial Services LLC   2020 SEC $2,461,193
Vstock Transfer LLC   2020 SEC $65,000
NPB Financial Group, LLC   2020 SEC $1,050,188
SCF Investment Advisors, Inc.   2020 SEC $767,192
Boon Tech   2020 SEC $5,600,334
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
Rialto Capital Management, LLC   2020 SEC $350,000
WBI Investments Inc.   2020 SEC $750,000
Millington Securities Inc.   2020 SEC $250,000
Birinyi Associates, Inc.   2020 SEC $100,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Celadon Financial Group LLC   2020 SEC $125,000
IRTH Communications, LLC   2020 SEC $74,233
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
First Western Capital Management Company   2020 SEC $200,000
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
Plutus Technologies Philippines Corp.   2020 SEC $150,000
BNB Wealth Management, LLC   2020 SEC $74,417
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
Telegram Group Inc.   2020 SEC $18,500,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
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.