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
LACE Financial Corp.   2010 SEC $20,000
Consulting Services Group, LLC   2007 SEC $20,000
Fahnestock & Co., Inc. Oppenheimer Holdings financial services 2000 SEC $20,000
Gold Asset Management, Inc.   2000 SEC $20,000
Caruba International, LLC   2005 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial financial services 2017 AL-SEC $20,000
Nationwide Mortgage Concepts, LLC   2010 AR-SEC $20,000
W.R Starkey Mortgage, LLP   2010 AR-SEC $20,000
Krisell Oil Company, Inc.   2011 AR-SEC $20,000
National Financial Group and World Wide Business Opportunities, LLC   2000 AZ-SEC $20,000
Global Harvest Corp.   2001 AZ-SEC $20,000
Parklane International Corp.   2006 AZ-SEC $20,000
Reserve Oil & Gas, Inc.   2008 AZ-SEC $20,000
Mountain State Power, Inc.   2012 AZ-SEC $20,000
JMR Capital Management, Inc.   2018 CA-DFPI $20,000
Digital Entertainment Corp.   2006 CT-SEC $20,000
International Vacations, Ltd.   2006 CT-SEC $20,000
The Private Mortgage Fund, LLC   2007 CT-SEC $20,000
Argyle Capital, LLC   2007 CT-SEC $20,000
Oxford Micro Devices, Inc.   2008 CT-SEC $20,000
Woodstock Financial Group, Inc.   2010 CT-SEC $20,000
Vining Sparks IBG, L.P.   2010 CT-SEC $20,000
Andrew Garrett Inc.   2010 CT-SEC $20,000
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
John Thomas Financial   2011 CT-SEC $20,000
RMV Holding Company, LLC   2013 CT-SEC $20,000
Cantone Research Inc.   2017 CT-SEC $20,000
AFT Logistics, LLC nka Equity One Contractors LLC   2018 CT-SEC $20,000
Great Heritage Investments, LLC   2020 CT-SEC $20,000
AllianceBernstein L.P. Equitable Holdings financial services 2012 DE-SEC $20,000
Security Asset Management, Inc. and Security Asset Capital Corp.   2001 FL-OFR $20,000
LT Lawrence & Co., Inc.   2001 FL-OFR $20,000
FFP Securities, Inc.   2003 FL-OFR $20,000
Investors Capital Corp.   2004 FL-OFR $20,000
Gordon Gelley & Co., PLLC   2013 FL-OFR $20,000
212 Advisory Group, LLC   2019 GA-SEC $20,000
Royal Wealth Management, Inc. dba Northstar Capital   2012 ID-SEC $20,000
Brooke's Ventures LLC   2020 ID-SEC $20,000
SBU, Inc.   2003 IL-SEC $20,000
Geneva Securities, Inc.   2003 IL-SEC $20,000
Pro-Matrix Technologies, L.L.C.   2003 IL-SEC $20,000
Downline Builders International   2003 IL-SEC $20,000
Public Communication Services, Inc. aka Sprawlnet.com, Inc.   2004 IL-SEC $20,000
Rapid Technologies Group, Inc. aka Event Horizon Technologies Software, Inc.   2004 IL-SEC $20,000
Berwick Black Cattle Co. and Source of Champions   2005 IL-SEC $20,000
Erudite Systems, Inc. et al.   2006 IL-SEC $20,000
A&O Life Fund, LLC et al.   2009 IL-SEC $20,000
Accurate Financial Group Ltd.   2010 IL-SEC $20,000
21st Sentry Technologies, Inc. and Futurecom Global, Inc.   2010 IL-SEC $20,000
Diversified Liquid Asset Holdings LLC   2010 IL-SEC $20,000
Insider Real Estate, Inc.   2012 IL-SEC $20,000
Scanlan Realty & Investments, Ltd.   2012 IL-SEC $20,000
Full Circle Strategies, Ltd.   2012 IL-SEC $20,000
Mega Cash Flow Investments, Inc.   2012 IL-SEC $20,000
Alpha Wealth Group   2013 IL-SEC $20,000
COR Development Group, Inc.   2013 IL-SEC $20,000
Sports Dimensions, Inc.   2016 IL-SEC $20,000
QBITI, LLC   2018 IL-SEC $20,000
Rockwell Gold Investments   2011 IN-SEC $20,000
Geo-Sensors/Re-Con Drilling & Exploration, Inc.   2011 KY-FIN $20,000
Remington Wealth Management, LLC   2013 KY-FIN $20,000
Encore Energy, Inc.   2018 KY-FIN $20,000
Mid-Atlantic Estate Planning, Inc.   2004 MD-SEC $20,000
Winning Mortgages, LLC   2007 MD-SEC $20,000
American High Technology Center, Inc. and Kalimantan Mining, LLC   2007 MD-SEC $20,000
Celebration Financial, Inc. and Funding Advisors, Inc.   2009 MD-SEC $20,000
Rodney International   2010 MD-SEC $20,000
100 Miles, LLC   2010 MD-SEC $20,000
EBN Marketing, LLC   2014 MD-SEC $20,000
Dream Marketing and SEO, Inc.   2014 MD-SEC $20,000
Aurora Investment Management Group, LLC   2015 MD-SEC $20,000
Law Office of Greg S. Friedman   2015 MD-SEC $20,000
Famous Characters, LLC   2016 MD-SEC $20,000
Premier Marketing Solutions, LLC   2018 MD-SEC $20,000
Columbia Financial Advisors LLC   2018 MD-SEC $20,000
Halliday Financial, LLC   2015 ME-SEC $20,000
IBA Consulting, LLC   2016 MI-SEC $20,000
Scorsesi Makeup, LLC   2016 MI-SEC $20,000
Tauban, Inc.   2016 MI-SEC $20,000
JAC Investments, LLC   2016 MI-SEC $20,000
OSAD, LLC   2016 MI-SEC $20,000
Cunningham Energy, LLC   2016 MI-SEC $20,000
Shaar 2, LLC   2017 MI-SEC $20,000
Meadowbrook Investment Advisors, LLC   2017 MI-SEC $20,000
CoreCap Investments, LLC   2018 MI-SEC $20,000
Wesleyan Investment Foundation, Inc.   2018 MI-SEC $20,000
CBIG CCS, LLC   2019 MI-SEC $20,000
Severn Funding & Investment Ltd.   2020 MI-SEC $20,000
Heartland Production and Recovery, LLC   2020 MI-SEC $20,000
BC Holdings and Investments, LLC   2020 MI-SEC $20,000
Mintage Mining, LLC   2020 MI-SEC $20,000
Authotecq Systems, Inc.   2012 MN-FIN $20,000
Career Development Services International, LLC   2018 MN-FIN $20,000
Schuster Financial LLC   2020 MN-FIN $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 MO-SEC $20,000
JAD-LJD Investments, L.L.C.   2015 MO-SEC $20,000
Assemblies of God Credit Union   2016 MO-SEC $20,000
Aspen Wealth Management, Inc.   2017 MO-SEC $20,000
Elite Investment Advisors, LLC   2018 MO-SEC $20,000
Schaefer Wealth Management, Inc.   2018 MO-SEC $20,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-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.