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
Horter Investment Management, LLC   2019 CT-SEC $12,500
WCM Investment Management   2005 IL-SEC $12,500
Members Capital Advisors, Inc.   2008 IL-SEC $12,500
Pencrest Corp.   2010 IL-SEC $12,500
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2007 MS-SEC $12,500
Malachi Financial, LLC   2012 MS-SEC $12,500
Pruco Securities, LLC Prudential Financial financial services 2006 NE-DBF $12,500
Rasmusson Financial Group, Inc.   2011 NE-DBF $12,500
Team Resources Inc. and School Creek Production and Development Fund I   2012 NH-BSR $12,500
Ensconce Data Technology Inc.   2014 NH-BSR $12,500
Collaborative Med LLC   2012 SC-SEC $12,500
East Coast Investments   2013 SC-SEC $12,500
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
Integrity RIA, LLC   2019 TX-SEC $12,500
CHANELLO'S INTERNATIONAL, INC.   2013 VA-SEC $12,500
FOODNET FRANCHISING, INC. &   2013 VA-SEC $12,500
New Wave Innovations Ltd.   2019 WA-FIN $12,500
VI Capital Management, LLC   2018 WA-FIN $12,500
InvestingCI, LLC   2017 WA-FIN $12,500
TVDeeBee, Inc.   2015 WA-FIN $12,500
Mongolia Holdings, Inc.   2015 WA-FIN $12,500
BlueRay Technologies, LLC et al.   2012 WA-FIN $12,500
Private Lender Funding, Inc. and The Moyer Company   2003 WA-FIN $12,500
PrimeFund, Inc. dba WealthFlex   2020 WA-SEC $12,500
Doyle, Miles & Co., L.L.C.   2004 FINRA $12,500
Quantlab Securities, L.P.   2004 FINRA $12,500
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Liquid Equities Corp.   2015 MO-SEC $12,733
Harbor Financial Services, LLC   2006 CT-SEC $12,750
South American Trading, Inc.   2010 IN-SEC $12,772
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
National Securities Corp.   2004 MO-SEC $13,000
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
EWC FRANCHISE, LLC   2013 VA-SEC $13,000
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
Best Western International, Inc.   2020 VA-SEC $13,000
Olympic Coast Investment, Inc.   2010 WA-FIN $13,000
LaSalle St. Securities, L.L.C.   2000 FINRA $13,000
The Huntington Investment Co.   2006 CT-SEC $13,150
The Investment Advisory Group, L.L.C.   2011 AZ-SEC $13,200
Securities Compliance Department   2005 MO-SEC $13,298
3D Money, LLC et al.   2020 WA-FIN $13,312
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
Wealth Management Institute, Ltd.   2005 MD-SEC $13,406
Darel Baer Investment Advisory LLC   2014 CA-DFPI $13,500
Branch Banco, Inc.   2007 FL-OFR $13,500
MK Investments, LLC   2016 IN-SEC $13,500
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
Earn Like a Pro, LLC   2014 MO-SEC $13,534
MarketsTheWorld Limited   2017 MO-SEC $13,600
Cash Flow Capital, LLC   2012 MD-SEC $13,610
Northwest Financial Group   2007 WA-FIN $13,950
Prosper Marketplace Prosper Marketplace financial services 2015 IN-SEC $13,957
LPL Financial, LLC LPL Financial financial services 2013 IN-SEC $14,000
Barrington Capital Management, Inc.   2007 MO-SEC $14,000
US Petroleum LLC   2003 ND-SEC $14,000
RAHFCO Management Group LLC   2010 ND-SEC $14,000
SAXBY'S COFFEE, INC.   2008 VA-SEC $14,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
Access Securities, Inc.   2001 FINRA $14,000
Torrey Pines Securities, Inc.   2001 FINRA $14,000
FR&J Investments Group Corp.   2005 OK-SEC $14,350
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
Allegiant Retirement Group   2016 MO-SEC $14,500
Tidewater Financial Group PC   2016 NH-BSR $14,500
Sierra Financial Advisors, LLC   2010 SEC $14,599
Calivin Bird & Associates, LLC and Island Falls Financial, Inc.   2007 MO-SEC $14,605
Solium Financial Services LLC Morgan Stanley financial services 2020 MT-SEC $14,700
Buraness Management, LLC   2011 MO-SEC $14,827
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2002 FL-OFR $14,938
Pond Equities Corp.   2007 RI-FIN $14,960
HBA Advisors, LLC   2018 SEC $15,000
Romano Brothers & Company   2018 SEC $15,000
D.M. Keck & Company, Inc.   2007 SEC $15,000
Gemisys Corporation   2002 SEC $15,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Gateway Mortgage Group, LLC   2009 AR-SEC $15,000
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
McDonald Partners LLC   2016 AR-SEC $15,000
Alexander Capital, L.P.   2019 AR-SEC $15,000
Estate Services II, Inc.   2000 AZ-SEC $15,000
Delta FX Trade   2018 AZ-SEC $15,000
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Alii Consulting   2017 CA-DFPI $15,000
Candide Group, LLC   2017 CA-DFPI $15,000
Opes Capital Group, LLC   2019 CA-DFPI $15,000
Vision Securities, Inc.   2006 CT-SEC $15,000
Casimir Capital L.P.   2009 CT-SEC $15,000
American Capital Partners, LLC   2009 CT-SEC $15,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Aegis Capital Corp.   2012 CT-SEC $15,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
The Morgan Group   2000 FL-OFR $15,000
Morgan Carlton Financial Corp.   2000 FL-OFR $15,000
Morgan Commercial Private Investment Bankers   2000 FL-OFR $15,000
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.