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
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers   2008 VA-SEC $10,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE   2008 VA-SEC $10,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
J.W. KORTH & COMPANY, LP   2015 VA-SEC $10,000
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
Retirement Base Camp   2019 WA-FIN $10,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Reign Capital Management, LLC   2017 WA-FIN $10,000
Northwest Crest, LLC and NW Crest Capital, LLC   2017 WA-FIN $10,000
Your Local Market, LLC   2014 WA-FIN $10,000
Cirrus Partners, Inc.   2014 WA-FIN $10,000
MRG International, Inc.   2014 WA-FIN $10,000
SPF, INC   2013 WA-FIN $10,000
Dinotech Corp.   2013 WA-FIN $10,000
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
Better World Materials Inc.   2012 WA-FIN $10,000
L&L International Holdings, Inc.   2009 WA-FIN $10,000
Valkyrie, Inc.   2009 WA-FIN $10,000
Pine Canyon Enterprises, Inc.   2007 WA-FIN $10,000
Mana, LLC   2005 WA-FIN $10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
Selway Asset Management Inc.   2020 ID-SEC $10,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Crossroads Community Church Inc.   2020 KY-FIN $10,000
Ionx Capital Holdings Inc.   2020 KY-FIN $10,000
Conestoga Trust   2020 MO-SEC $10,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
Priority Wealth Advisors, Inc.   2020 CA-DFPI $10,000
Neighborhood Networks Publishing, Inc.   2020 CA-DFPI $10,000
Volumetric Fund, Inc.   2021 CT-BKG $10,000
Lead Point Wealth Management, LLC   2021 KY-FIN $10,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Cantone Research, Inc.   2020 NJ-BOS $10,000
OTR, Inc.   2020 SEC $10,000
Infinex Investments, Inc.   2007 IL-SEC $10,100
Aztec Capital, LLC   2013 CA-DFPI $10,125
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Capital Funding Management, Inc.   2007 MO-SEC $10,165
First American Securities, Inc.   2017 MN-FIN $10,200
Janney Montgomery Scott LLC Penn Mutual financial services 2006 RI-FIN $10,250
RPM Capital Management, LLC   2017 CT-SEC $10,400
LAS International Ltd.   2007 ND-SEC $10,400
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
CCM Management Group, LLC   2014 CA-DFPI $10,500
Schupp & Grochmal, LLC   2020 CT-BKG $10,510
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Bodell Overcash Anderson & Co., Inc.   2005 ME-SEC $10,538
Allsource Financial Management, LLC   2015 MD-SEC $10,578
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
Integrity Assured Life Settlements, Inc.   2001 AZ-SEC $10,611
Lawson Financial Corp.   2013 MT-SEC $10,660
Skamp Investments LLC et al.   2005 MO-SEC $10,720
Black Diamond Research, LLC   2006 CT-SEC $10,900
Jack V. Butterfield Investment Co.   2016 IL-SEC $10,957
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Alpha Capital Partners, LLC   2012 CA-DFPI $11,000
Phoenix Asset Group, LLC   2019 MN-FIN $11,000
george DEAN LLC   2019 MN-FIN $11,000
Pathway Advisors Group   2020 MO-SEC $11,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Roran Enterprises   2017 NM-SEC $11,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
The New Dimension Group, LLC   2012 VA-SEC $11,000
Katana Capital, LLC   2016 WA-FIN $11,000
Global Asset Research and Recovery   2014 WA-FIN $11,000
Market4Cast Hedge Fund, LP   2011 WA-FIN $11,000
Iron Horse Petroleum, Inc.   2010 WA-FIN $11,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Spellbinder Funding LLC   2009 WA-FIN $11,000
Cannabis Plus Missouri, L.L.C. and Can Plus Mo Investments   2020 MO-SEC $11,016
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
CoreFunds, Inc.   2006 MO-SEC $11,040
Asset & Financial Planning, Ltd.   2010 CT-SEC $11,150
Texas International Resources, L.L.C.   2016 MO-SEC $11,165
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Renaud & Company, LLC   2012 MO-SEC $11,226
Wesleyan Investment Foundation, Inc.   2019 KY-FIN $11,250
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Blue Gold co LC   2020 WA-SEC $11,250
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Solium Financial Services LLC Morgan Stanley financial services 2020 IL-SEC $11,385
Eye International, L.L.C. and American International Beneficial Association, Inc.   2000 AZ-SEC $11,500
Octagon Financial Services, Inc.   2004 IL-SEC $11,500
Savant Capital Management, Inc.   2008 IL-SEC $11,500
Hinsdale Associates, Inc.   2009 IL-SEC $11,500
Sequoia Group, Inc.   2011 IL-SEC $11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
Brisk Management, LLC   2018 WA-FIN $11,500
Fairfield Energy Inc. et al.   2011 WA-FIN $11,500
Wesleyan Investment Foundation   2021 WA-SEC $11,500
R.C. Transport, LLC   2008 MO-SEC $11,563
Butler, Wick & Co., Inc.   2004 MO-SEC $11,600
Financial Assets Corp.   2010 MT-SEC $11,794
AFG Capital management, Inc.   2007 MO-SEC $11,870
Manarin Securities Corp.   2005 IL-SEC $11,952
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
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.