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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
PanaMed Corp.   2004 SEC $5,000
BNB Capital, Inc.   2002 SEC $5,000
National Stock Transfer Inc.   2000 SEC $5,000
WWW Advisors, Inc.   2000 SEC $5,000
Asset Timing Corp.   2000 SEC $5,000
39 Lispenard Project, LLC   2015 NY-AG $5,000
Touchstone Funds Group Trust   2013 AK-DBS $5,000
Arbor Capital Management, Inc.   2013 AK-DBS $5,000
McKinley Capital Non-US Small Cap Growth Fund   2015 AK-DBS $5,000
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
Global Financial Private Capital, LLC   2014 AL-SEC $5,000
Girosol of Kentucky, Corp.   2008 AR-SEC $5,000
Southwestern Union Conference of Seventh-day Adventists   2008 AR-SEC $5,000
Key Financial Corp.   2009 AR-SEC $5,000
PowerOne Corp.   2014 AR-SEC $5,000
Texas Energy Mutual, LLC   2014 AR-SEC $5,000
Crews and Associates, Inc.   2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
Truckville Inc. dba EZ Finance Auto Sales   2000 AZ-SEC $5,000
Steven S. Levine Chartered   2001 AZ-SEC $5,000
William R. Evans Chartered   2002 AZ-SEC $5,000
Beneficial Assistance   2002 AZ-SEC $5,000
Estate Conservation Strategies, Inc.   2002 AZ-SEC $5,000
Universal FX Incorporated   2005 AZ-SEC $5,000
Worldwide Forex, Inc.   2005 AZ-SEC $5,000
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
WSK Energy, L.L.C.   2006 AZ-SEC $5,000
Panama Capital Funding, L.L.C.   2008 AZ-SEC $5,000
Sports Dimensions, Inc.   2010 AZ-SEC $5,000
Global Trading Partners, LLC   2010 AZ-SEC $5,000
La Bella Investments, LLC   2010 AZ-SEC $5,000
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C   2011 AZ-SEC $5,000
MT Explorations, LLC   2012 AZ-SEC $5,000
Real Estate Monster, LLC   2013 AZ-SEC $5,000
Biltmore Wealth Advisors, LLC   2015 AZ-SEC $5,000
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Simpson Capital Management, Inc.   2014 CA-DFPI $5,000
WCM Global Wealth, LLC   2015 CA-DFPI $5,000
Harbor Island Wealth Management   2017 CA-DFPI $5,000
Continuum Financial Partners, LLC   2017 CA-DFPI $5,000
Tiburon Research Group, Inc.   2018 CA-DFPI $5,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Multivend, LLC dba Vendstar   2009 CT-SEC $5,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
Mercer Capital Ltd.   2010 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2010 CT-SEC $5,000
Spear Capital Management, Inc.   2011 CT-SEC $5,000
Brookville Capital Partners   2012 CT-SEC $5,000
Columbus Advisory Group, Ltd.   2014 CT-SEC $5,000
First Connecticut Capital, LLC   2015 CT-SEC $5,000
David Lerner Associates, Inc.   2016 CT-SEC $5,000
Evans Technology Holding Co.   2018 CT-SEC $5,000
Empire Wine & Liquor Superstore CT, LLC   2018 CT-SEC $5,000
Blaine Capital, LLC   2018 CT-SEC $5,000
Blackboard, Inc.   2004 DC-DISB $5,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Miller Johnson Steichen Kinnard, Inc.   2005 DE-SEC $5,000
Condor and Eagle, Inc., Contact Generation, Inc. and TCI   2000 FL-OFR $5,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
Trinity Investment Club Ltd.   2001 FL-OFR $5,000
Sterling Associates   2002 FL-OFR $5,000
C.J.M. Planning Corp.   2002 FL-OFR $5,000
Rushmore Securities Corp.   2002 FL-OFR $5,000
ICMA-RC Services, LLC   2002 FL-OFR $5,000
International Securities Corp.   2002 FL-OFR $5,000
Triad Advisors, Inc.   2002 FL-OFR $5,000
PRS Latam, LLC   2003 FL-OFR $5,000
Veravest Investments, Inc.   2003 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
PFS Investments, Inc.   2006 FL-OFR $5,000
Sine Capital, Inc.   2016 FL-OFR $5,000
Investment Planning, LLC   2017 GA-SEC $5,000
CSG Wealth Management   2018 GA-SEC $5,000
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
Morgan Sterling Currency Exchange, Inc.   2001 ID-SEC $5,000
Lost Rivers Hospital District dba Lost Rivers Medical Center   2003 ID-SEC $5,000
Multi-Financial Securities Corp.   2004 ID-SEC $5,000
John Thomas Financial   2009 ID-SEC $5,000
Strategic Capital Alternatives, LLC   2012 ID-SEC $5,000
Beacon Rock Investment Advisors, LLC   2013 ID-SEC $5,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Polite and Company   2003 IL-SEC $5,000
High Tech Financial Products aka EBD Consulting, Inc.   2004 IL-SEC $5,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 IL-SEC $5,000
G.D. Castillo M.D. Ltd. Profit Sharing Plan   2005 IL-SEC $5,000
Stralem & Company, Inc.   2006 IL-SEC $5,000
Z Touch Systems, Inc.   2006 IL-SEC $5,000
SilverShore Investment Group   2009 IL-SEC $5,000
Ghetzler Aero-Power Corp.   2010 IL-SEC $5,000
Tax Recovery Team   2011 IL-SEC $5,000
Fran Span Global, LLC et al.   2011 IL-SEC $5,000
Government Benefit Advisors, LLC   2015 IL-SEC $5,000
Elite Group Financial, LLC   2015 IL-SEC $5,000
LT Solutions Corp.   2016 IL-SEC $5,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
Elite Group Financial, LLC   2016 IL-SEC $5,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
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.