Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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
Paez Real Estate Funding   2006 IL-SEC $5,462
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Kingdom Oil, Inc.   2006 KY-FIN $5,000
Intersecurities, Inc.   2006 MD-SEC $364,811
Infinity Financial Investment Corp. and Wallstreet-Analysis Investments   2006 MD-SEC $35,000
US Mega Corporation et al.   2006 MD-SEC $195,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MD-SEC $72,000
Checkmake Financial, Inc.   2006 MD-SEC $40,000
Quizno's Franchising LLC and Quizno's Franchising II LLC   2006 MD-SEC $5,000
Dr., Inc.   2006 MD-SEC $30,000
GNC Franchising, LLC   2006 MD-SEC $100,000
Main Street Estate Group, Inc.   2006 MD-SEC $161,621
Medwell Group, Inc.   2006 MD-SEC $25,000
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
Woso Energy Corporation   2006 ME-SEC $6,000
Matrix Petroleum, Inc.   2006 ME-SEC $24,000
Wireless Worldwide Connections, LLC, IX   2006 MN-FIN $5,130
Waddell & Reed, Inc. Macquarie financial services 2006 MO-SEC $172,161
Andrew Garrett, Inc.   2006 MO-SEC $9,500
Emerging Technologies Development Co. and Emerging Technologies Investment Group, L.L.C.   2006 MO-SEC $110,845
CoreFunds, Inc.   2006 MO-SEC $11,040
Easterday Exploration, Inc.   2006 MO-SEC $5,000
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Krystal Energy Corp.   2006 MO-SEC $18,000
King's Country Music Show   2006 MO-SEC $10,000
Omni Media & Entertainment, Inc.   2006 MO-SEC $5,000
Petro-America Producing Oil and Gas Wells, Inc.   2006 MO-SEC $5,652
Son & Carter, Inc.   2006 MO-SEC $50,000
Goldline International, Inc.   2006 MO-SEC $39,370
The Planning Group, Inc. dba Asset Strategies, Inc.   2006 MO-SEC $56,850
Paseo Biofuels, LLC   2006 MO-SEC $23,692
Great River Soy Processing Cooperative   2006 MO-SEC $15,037
World Group Securities, Inc. Aegon financial services 2006 MO-SEC $228,600
Canady Holdings, Inc.   2006 MO-SEC $8,267
Consumer Concepts Investments, Inc.   2006 MS-SEC $15,000
Crossroads Media, Inc.   2006 MS-SEC $25,000
MetLife Securities, Inc. MetLife financial services 2006 MS-SEC $50,000
Positive News Increase, Inc.   2006 MS-SEC $25,000
Mowdy Financial, LLC   2006 MS-SEC $10,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MS-SEC $25,000
Summit Brokerage Services, Inc.   2006 MT-SEC $198,020
Ryan Beck & Co. and Ryan Beck Life Agency, Inc.   2006 MT-SEC $150,000
Piper Jaffray & Co. Piper Sandler financial services 2006 MT-SEC $345,000
Ameriplan USA Corp.   2006 MT-SEC $200,000
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
I2U Inc.   2006 ND-SEC $150,000
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $17,204
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2006 ND-SEC $8,000
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $229,000
Pruco Securities, LLC Prudential Financial financial services 2006 NE-DBF $12,500
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
Bruce Fund, Inc.   2006 NE-DBF $17,500
ING Life Insurance and Annuity Company Voya Financial financial services 2006 NH-BSR $3,000,000
Unlimited Cash Inc.   2006 OR-FIN $100,000
Douglas Network Enterprises Inc.   2006 OR-FIN $100,000
Ruttenberg and Associates MVP Inc.   2006 OR-FIN $75,000
Childcare Seekers Onestop Inc.   2006 OR-FIN $15,000
Young Oil Corporation   2006 RI-FIN $31,000
Janney Montgomery Scott LLC Penn Mutual financial services 2006 RI-FIN $10,250
Westfort Energy Ltd.   2006 TN-SEC $108,773
Prospera Financial Services Inc.   2006 TX-SEC $5,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
The Spaghetti Shop of Mid-America, Inc.   2006 VA-SEC $38,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
CAC Capital Corporation   2006 VA-SEC $15,000
North American Resource Group, Inc.   2006 WA-FIN $38,175
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Austin & Associates   2006 WA-FIN $30,000
LionHearted Entertainment, Inc.   2006 WA-FIN $15,000
Family First Advanced Estate Planning and Family First Insurance Services   2006 WA-FIN $50,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
USAllianz Securities   2006 FINRA $5,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
EKN Financial Services Inc.   2006 FINRA $200,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
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.