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 Year Agency Penalty Amountsort icon
Principal Investors Fund, Inc.   2008 MD-SEC $15,000
KH Funding Co.   2008 MD-SEC $15,000
SCDC Management Company, LLC   2010 MD-SEC $15,000
JEI Self-Learning Systems, Inc.   2013 MD-SEC $15,000
RBC Capital Market LLC   2015 MD-SEC $15,000
Daekyo America, Inc.   2018 MD-SEC $15,000
The Baltimore Land Trust Development Group, LP   2019 MD-SEC $15,000
Sound Investment Equity, LLC   2019 MD-SEC $15,000
Geckler Companies, Inc.   2013 MN-FIN $15,000
Hurting Kind Films, LLC   2014 MN-FIN $15,000
Creative Wealth Strategies, Inc. dba Adams-Hansen & Associates   2015 MN-FIN $15,000
Goldview Capital Management LP and Goldview Investment Group LLC   2019 MN-FIN $15,000
Tri-City Baptist Church, Inc.   2004 MO-SEC $15,000
Professional Resource Network, LLC   2005 MO-SEC $15,000
Andrew Garrett, Inc.   2008 MO-SEC $15,000
Datatex Investment Services, Inc.   2009 MO-SEC $15,000
Peak Wealth Group, LLC   2014 MO-SEC $15,000
Crossroads Asset Management, LLC   2015 MO-SEC $15,000
MWA Financial Services, Inc.   2016 MO-SEC $15,000
Mad Baby Pictures, LLC   2017 MO-SEC $15,000
Beacon Wealth Advisory, LLC   2019 MO-SEC $15,000
Consumer Concepts Investments, Inc.   2006 MS-SEC $15,000
Brookstreet Securities Corp.   2008 MS-SEC $15,000
TelexFREE, Inc.   2015 MT-SEC $15,000
TelexFREE, LLC   2015 MT-SEC $15,000
Rothschild Investment Corporation   2008 ND-SEC $15,000
ABC Financial Planning   2017 NH-BSR $15,000
Spelman & Co. Inc.   2007 OK-SEC $15,000
CUNA Brokerage Services Inc. CUNA Mutual financial services 2014 OK-SEC $15,000
The Baker Group   2019 OK-SEC $15,000
Data Technology Group   2002 OR-FIN $15,000
Las Vegas 220 SMR   2002 OR-FIN $15,000
Westminster Holdings Ltd et al.   2002 OR-FIN $15,000
Omni Advisor Group Inc.   2004 OR-FIN $15,000
Childcare Seekers Onestop Inc.   2006 OR-FIN $15,000
Prosper Marketplace Inc. Prosper Marketplace financial services 2009 OR-FIN $15,000
Richards, Merrill & Peterson, Inc.   2016 OR-FIN $15,000
IFS Securities Inc.   2018 PA-BKG $15,000
Oil2 Holdings, Inc. and Couch Financial Services Incorporated   2014 SC-SEC $15,000
Quinn Financial Partners LLC   2013 TN-SEC $15,000
Jones Wealth Management, LLC   2020 TN-SEC $15,000
Supertrade Securities Inc.   2000 TX-SEC $15,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
Financial Consulting Services   2016 TX-SEC $15,000
Sunlight Investments   2018 TX-SEC $15,000
TIRE RECYCLERS, INC.   2001 VA-SEC $15,000
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
CAC Capital Corporation   2006 VA-SEC $15,000
C & D MANAGEMENT COMPANY   2008 VA-SEC $15,000
GREYSTONE CAPITAL   2008 VA-SEC $15,000
GRISWOLD SPECIAL CARE, INC.   2009 VA-SEC $15,000
CAPITOL SECURITIES MANAGEMENT   2010 VA-SEC $15,000
PLAY N TRADE FRANCHISE, INC.   2010 VA-SEC $15,000
THE BUFFALO EXTENSION LLP   2011 VA-SEC $15,000
Manhattan Pizza Company, LLC and Luv'nberry   2014 VA-SEC $15,000
GLOBAL RETAILERS, LLC   2015 VA-SEC $15,000
Pelican's Snoballs VA LLC   2016 VA-SEC $15,000
Montessori School Franchising, LLC   2017 VA-SEC $15,000
Stock Investment Management Inc.   2018 VT-FIN $15,000
Creative Money LLC   2017 WA-FIN $15,000
All Wave Engineering, Inc.   2016 WA-FIN $15,000
Adams Financial Concepts, LLC   2014 WA-FIN $15,000
New Earth Renewable Energy Inc.   2013 WA-FIN $15,000
Yofast, LP   2013 WA-FIN $15,000
ECO Motor Company, Inc.   2011 WA-FIN $15,000
Texas State Energy Corp.   2011 WA-FIN $15,000
LionHearted Entertainment, Inc.   2006 WA-FIN $15,000
Runnymede Capital Partners and Runnymede Capital Management   2005 WA-FIN $15,000
Millennium Marketing and Management, LLC   2005 WA-FIN $15,000
MA Quik Framing Inc.   2005 WA-FIN $15,000
DBH Growth Fund   2004 WA-FIN $15,000
Western Gateway Region Rural Broadband Company, Inc   2020 AZ-SEC $15,000
Banner Co-op, Inc.   2020 MI-SEC $15,000
MFG Investments, LLC   2020 PA-BKG $15,000
603 Financial, Inc. dba Goddard Financial Planning   2020 WA-SEC $15,000
S.G. Long & Company   2020 TX-SEC $15,000
FSC Securities Corporation   2009 FINRA $15,000
Lincoln Investment Planning, Inc.   2009 FINRA $15,000
Delta Asset Management Company, L.L.C.   2004 FINRA $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2001 FINRA $15,000
Penson Financial Services, Inc.   2001 FINRA $15,000
Allmerica Investments, Inc.   2001 FINRA $15,000
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
Great River Soy Processing Cooperative   2006 MO-SEC $15,037
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
LARADA SCIENCES, INC.   2018 VA-SEC $15,500
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
BTS Securities Corporation   2008 RI-FIN $15,694
Agricola Associates, LLC   2015 MO-SEC $15,755
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Rafferty Capital Markets, LLC   2015 CT-SEC $16,050
The RWS Group, Inc.   2004 MO-SEC $16,120
B&B Worm Farm   2002 OK-SEC $16,400
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
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.