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
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2001 FINRA $15,000
Penson Financial Services, Inc.   2001 FINRA $15,000
Allmerica Investments, Inc.   2001 FINRA $15,000
Superior Investment Performance Inc. dba Everyield Investments   2021 PA-BKG $15,000
Legacy Wealth Advisors, Inc.   2021 TX-SEC $15,000
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
Great River Soy Processing Cooperative   2006 MO-SEC $15,037
Swiss America Trading Corp.   2021 MN-FIN $15,292
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
LARADA SCIENCES, INC.   2018 VA-SEC $15,500
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
BTS Securities Corporation   2008 RI-FIN $15,694
Agricola Associates, LLC   2015 MO-SEC $15,755
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Rafferty Capital Markets, LLC   2015 CT-SEC $16,050
The RWS Group, Inc.   2004 MO-SEC $16,120
B&B Worm Farm   2002 OK-SEC $16,400
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
Chandy Enterprises, LLC   2017 MD-SEC $16,500
Umbrella Research, LLC   2017 SEC $16,676
Pike Financial Group, LLC   2016 MO-SEC $16,800
Guaranteed Investigations, Inc.   2019 SEC $16,846
Safe Harbor Financial LLC   2009 MO-SEC $16,920
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $17,000
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
NAI BLUESTONE REAL ESTATE   2011 VA-SEC $17,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Gulftex Operating, Inc. and Frenchtown Acres, LLC   2014 WA-FIN $17,000
Milestone Life Settlement Fund, LLC et al.   2014 WA-FIN $17,000
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
CSIR Group, LLC   2018 SEC $17,142
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $17,204
DOUGLAS AQUATICS, INC.   2010 VA-SEC $17,300
Prudential Equity Group, LLC Prudential Financial financial services 2004 FINRA $17,306
Newbridge Securities Corp.   2013 AR-SEC $17,377
SBG Forever, Inc. et al.   2013 IN-SEC $17,465
Secured Financial Services, Inc.   2005 MD-SEC $17,500
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
Great American Investors, Inc.   2007 MO-SEC $17,500
Bruce Fund, Inc.   2006 NE-DBF $17,500
Spartan Capital Securities LLC   2012 NH-BSR $17,500
Granite Associates Inc.   2005 TN-SEC $17,500
EDI Financial Inc.   2008 TX-SEC $17,500
EASTCORP BUSINESS SERVICES   2009 VA-SEC $17,500
THE SENIOR'S CHOICE INC.   2010 VA-SEC $17,500
Thome Financial Management, LLC   2012 WA-FIN $17,500
MKT Investments, LLC   2021 NH-BSR $17,500
Donnelly & Co., Inc.   2000 FINRA $17,500
Harvest Financial Corp.   2006 IL-SEC $17,600
Rothschild Investment Corp.   2008 AL-SEC $17,646
Redbird Management Group   2011 IN-SEC $17,800
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
The BABCO Group, LLC   2007 ID-SEC $17,877
Target Capital Management, LLC   2017 FL-OFR $18,000
Krystal Energy Corp.   2006 MO-SEC $18,000
Genshare Acquisition, Inc.   2012 MO-SEC $18,000
Moloney Securities Co., Inc.   2016 MO-SEC $18,000
Westpark Capital, Inc.   2017 MO-SEC $18,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Upstream Solutions, LLC   2015 WA-FIN $18,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $18,000
Pinnacle Plus Capital LLC   2020 ID-SEC $18,423
Virginia Commercial Capital Corp.   2012 IL-SEC $18,500
2946033 CANADA, Inc. dba The Mad Science Group   2013 MD-SEC $18,500
Ultimate Business Solutions, LLC   2015 MO-SEC $18,500
Renegade Investment Properties, Inc.   2017 MO-SEC $18,500
Independent Financial Group, LLC   2020 SD-SEC $18,750
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Captal Guardian, Inc.   2010 IL-SEC $19,000
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
KLINE FRANCHISING, INC.   2017 VA-SEC $19,000
Aegis Capital Corp.   2001 FINRA $19,000
Hawkins Wealth Advisory LLC   2017 AZ-SEC $19,028
Panda Trucking LLC   2015 ND-SEC $19,400
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
Gary Goldberg & Co., Inc   2009 FINRA $19,500
UCI Wealth Advisors LLC   2016 ID-SEC $19,700
JG Enterprise, LLC   2019 AZ-SEC $19,772
Sand Hill Exchange   2015 SEC $20,000
Greater Wenatchee Regional Events Center Public Facilities District   2013 SEC $20,000
Nexgen Software Systems, Inc.   2006 CFTC $20,000
United Energy, Inc.   2004 CFTC $20,000
Olam International Limited Olam International agribusiness 2004 CFTC $20,000
EquityAlert.com, Inc.   2000 SEC $20,000
JW Charles Financial Services, Inc.   2000 SEC $20,000
New Concepts, L.L.C.   2000 SEC $20,000
Delaney Equity Group LLC   2016 SEC $20,000
Mitsubishi UFJ Securities (USA), Inc. Mitsubishi Group diversified 2016 SEC $20,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 SEC $20,000
EM Capital Management, LLC?   2012 SEC $20,000
Asset Advisors, LLC   2011 SEC $20,000
LACE Financial Corp.   2010 SEC $20,000
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.