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
Iron Horse Petroleum, Inc.   2009 AZ-SEC $149,481
Americus Home Loans, Inc.   2009 CO-SEC $400,000
Visionary Sports Entertainment, Inc.   2009 CO-SEC $92,307
Casimir Capital L.P.   2009 CT-SEC $15,000
Laidlaw & Company (UK) Ltd. fka Sands Brothers International Ltd.   2009 CT-SEC $60,000
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Press-A-Print International LLC   2009 CT-SEC $25,000
American Capital Partners, LLC   2009 CT-SEC $15,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Multivend, LLC dba Vendstar   2009 CT-SEC $5,000
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
Resilient Partners, LLC   2009 CT-SEC $1,000,000
Commonwealth Exploration Corp.   2009 CT-SEC $900,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
Ameritrade, Inc.   2009 DE-SEC $40,000
Millennial Financial Group, Inc.   2009 ID-SEC $265,000
John Thomas Financial   2009 ID-SEC $5,000
Galaxy Coin, LLC   2009 ID-SEC $903,000
Alliance Financial Services of Illinois Ltd.   2009 IL-SEC $10,000
Thrive Learning Institute   2009 IL-SEC $22,734
A&O Life Fund, LLC et al.   2009 IL-SEC $20,000
JT Financial Advisers, LLC   2009 IL-SEC $7,000
Heartland Resources, Inc.   2009 IL-SEC $239,780
SilverShore Investment Group   2009 IL-SEC $5,000
Hinsdale Associates, Inc.   2009 IL-SEC $11,500
Quantum Biomod Corp.   2009 IL-SEC $50,000
Suisse Capital Complex, Inc. and Asia Equities, Inc.   2009 IN-SEC $271,200
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Old Carco, LLC fka Chrysler, LLC   2009 IN-SEC $50,000
McGrath Hotels, LLC and The Lighthouse Group of Connecticut, LLC   2009 IN-SEC $220,000
Wren's Oil Field Recovery Co.   2009 IN-SEC $63,000
Ore Diversified, LLC   2009 IN-SEC $303,650
The Energy Group, Inc.   2009 IN-SEC $240,000
Loyalty Investments LLC   2009 IN-SEC $100,000
Racing Beverages, Inc.   2009 IN-SEC $397,000
Baldwin Wilson Development Corp.   2009 IN-SEC $426,800
Resources Planning Group, Inc.   2009 IN-SEC $100,000
Questar Capital Corp.   2009 KY-FIN $6,250
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
Butler Classic Homes, LLC et al.   2009 MD-SEC $675,000
Norand Management Solutions LLC   2009 MD-SEC $95,000
Brooks Martin Investments, LLC and My1sthouse.com, LLC   2009 MD-SEC $358,432
CMSU & Associates, LLC and Super Model Portfolio, LLP   2009 MD-SEC $10,000
On The Mark Construction Co.   2009 MD-SEC $30,000
Offutt Group, LLC et al.   2009 MD-SEC $2,800,000
Celebration Financial, Inc. and Funding Advisors, Inc.   2009 MD-SEC $20,000
Global Pacific Investments, LLC   2009 MD-SEC $616,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2009 MD-SEC $100,000
JHJ Funding, LLC   2009 MD-SEC $5,000
American River Capital, Inc. et al.   2009 MD-SEC $40,000
Anchor Mortgage, LLC   2009 MD-SEC $120,000
Delaware Distributors, L.P.   2009 MD-SEC $8,000
Prudential Investments, LLC   2009 MD-SEC $20,712
Gordon & Company Ltd.   2009 MD-SEC $975,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 MD-SEC $28,706
Peters Financial Planning Corp.   2009 MD-SEC $6,700
MultiVend, LLC dba Vendstar   2009 MD-SEC $100,000
Friedman, Schnaier & Associates   2009 MN-FIN $12,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 MO-SEC $20,000
Daedalus Capital, LLC   2009 MO-SEC $25,350
Premier Capital Advisors, Inc.   2009 MO-SEC $10,000
Securian Financial Services, Inc. Securian Financial financial services 2009 MO-SEC $79,445
Raymond James Financial Services, Inc. Raymond James Financial financial services 2009 MO-SEC $52,300
Aisle 411, Inc.   2009 MO-SEC $5,000
Princor Financial Services Corp.   2009 MO-SEC $226,700
UBS Financial Services, Inc. UBS financial services 2009 MO-SEC $170,175
ShareValue, Inc.   2009 MO-SEC $9,000
Green Forest Investments and Development Company, LLC   2009 MO-SEC $5,460
GenSafe Plastics, Inc.   2009 MO-SEC $9,500
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
Safe Harbor Financial LLC   2009 MO-SEC $16,920
Datatex Investment Services, Inc.   2009 MO-SEC $15,000
NatCity Investments, Inc.   2009 MO-SEC $105,590
Investment Professionals, Inc. Ameriprise Financial financial services 2009 MO-SEC $52,500
Brookshire Securities Corp.   2009 MS-SEC $225,000
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
Pelican Development L.L.C.   2009 ND-SEC $20,000
Montgomery, Goff & Bullis P.C.   2009 ND-SEC $30,000
Prosper Marketplace Inc. Prosper Marketplace financial services 2009 OR-FIN $15,000
REI Exchange LLC and TMG Ventures Inc.   2009 OR-FIN $150,000
Strategic Point Investment Advisors LLC and Progressive Financial Strategies LLC   2009 RI-FIN $50,000
Ameriprise Advisor Services Inc. Ameriprise Financial financial services 2009 RI-FIN $48,411
Decision Sciences Corporation   2009 SC-SEC $5,000
Quadra Pay Inc. and Quadra Pay Land LLC   2009 TN-SEC $5,000
Abshier Webb Donnelly & Baker Inc.   2009 TX-SEC $25,000
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
Dorothy of OZ LLC dba Box Office Productions III, LLC   2009 TX-SEC $5,000
Calandro Advisory Services Inc.   2009 TX-SEC $10,000
Milkie/Ferguson Investments Inc.   2009 TX-SEC $25,000
Mariner Investment Group   2009 TX-SEC $12,000
Investors Capital Corp.   2009 TX-SEC $10,000
Caprock Securities Inc.   2009 TX-SEC $10,000
808 Investments LLC et al.   2009 TX-SEC $10,000
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
EnStyle Wedding Designs International, LLC   2009 VA-SEC $50,000
EASTCORP BUSINESS SERVICES   2009 VA-SEC $17,500
GRISWOLD SPECIAL CARE, INC.   2009 VA-SEC $15,000
NETTALON SECURITY SYSTEMS INC   2009 VA-SEC $7,200
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.