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
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
D. Dean Hooley, II & Associates   2002 FL-OFR $15,000
T.H.E. Financial Group, Ltd.   2003 FL-OFR $15,000
Brookstreet Securities Corp.   2004 FL-OFR $15,000
Meyers Associates, L.P.   2004 FL-OFR $15,000
Lee County Acceptance Corp.   2007 FL-OFR $15,000
Ephesians 6:11 LLC   2014 FL-OFR $15,000
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
C&C Capital, LLC   2010 ID-SEC $15,000
United Private Capital, Inc.   2015 IL-SEC $15,000
US Business Brokers, Inc.   2015 IL-SEC $15,000
European Assets, Inc.   2016 IL-SEC $15,000
Lifetime Financial Growth of Ohio, LLC   2014 IN-SEC $15,000
StatNet Corp.   2011 KY-FIN $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
US Energy Partners, Inc.   2012 KY-FIN $15,000
Lawstar, Inc.   2004 MD-SEC $15,000
Van On State, LLC   2005 MD-SEC $15,000
E-Commerce Network.com, LLC and Wealth Systems, Inc.   2005 MD-SEC $15,000
My Plan Management group, LLC   2005 MD-SEC $15,000
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
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.