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 Year Agency Penalty Amountsort icon
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
CCM Management Group, LLC   2014 CA-DFPI $10,500
Schupp & Grochmal, LLC Schupp & Grochmal financial services 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
Index Securities, LLC   2004 FINRA $11,000
BDT & Associates, Inc.   2021 VA-SEC $11,000
360 Painting, LLC   2021 VA-SEC $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
Trinity Asset Partners, LLC   2021 SC-INS $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
Wilmington Capital Securities, LLC   2020 CT-SEC $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
VTR Capital, Inc. nka Fairchild Financial Group, Inc.   2000 FL-OFR $12,000
Anderson-David & Associates, Inc.   2002 ID-SEC $12,000
Puritan Securities Inc.   2008 MN-FIN $12,000
Friedman, Schnaier & Associates   2009 MN-FIN $12,000
EK Marketing, Inc.   2012 MO-SEC $12,000
Ernst & Associates, LLC   2016 MO-SEC $12,000
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Trader's Way   2017 MO-SEC $12,000
MetLife Securities MetLife financial services 2005 OR-FIN $12,000
Anderson Heights Development LLC   2014 OR-FIN $12,000
Dunes Securities Corporation   2017 SC-SEC $12,000
New Millennium Investment Company   2005 TN-SEC $12,000
Milkie/Ferguson Investments Inc.   2004 TX-SEC $12,000
Mariner Investment Group   2009 TX-SEC $12,000
Halter Global Opportunity Fund Management LLC   2010 TX-SEC $12,000
ALL ABOUT HONEYMOONS FRANCHISE   2013 VA-SEC $12,000
HOCOA Franchising Co., LLC   2015 VA-SEC $12,000
Goldberg Financial, LLC   2015 VA-SEC $12,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
Binary Banc   2016 WA-FIN $12,000
MiniHYA Corp.   2016 WA-FIN $12,000
Dystopia Rising, LLC   2016 WA-FIN $12,000
Pangean Energy, LLC   2013 WA-FIN $12,000
Dorothy of Oz, LLC   2010 WA-FIN $12,000
City Escrow, Inc.   2004 WA-FIN $12,000
BNY Brokerage, Inc.   2004 FINRA $12,000
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
First Nevada Marketing, Inc.   2007 MO-SEC $12,165
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Elliot & Associates Wealth Management Inc.   2013 FL-OFR $12,375
Dream Dinners, Inc.   2012 WA-FIN $12,375
Joel R. Mogy Investment Counsel, Inc.?   2001 SEC $12,500
First Kentucky Securities Corp.   2016 AL-SEC $12,500
Realty Mortgage Corp.   2007 AR-SEC $12,500
United Fidelity Funding Corp.   2010 AR-SEC $12,500
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Viatical Center, Inc.   2002 AZ-SEC $12,500
Salomon Whitney LLC   2011 CT-SEC $12,500
Meyers Associates, L.P.   2011 CT-SEC $12,500
Horter Investment Management, LLC   2019 CT-SEC $12,500
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.