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
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
BRAZELTON LOAN PARTNERS   2013 VA-SEC $22,168
Hologram USA Networks Inc.   2020 SEC $22,419
Dreos Financial Services   2004 AZ-SEC $22,425
QA3 Financial Corporation   2010 NE-DBF $22,500
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
FIRST GEORGETOWN SECURITIES INC.   2007 VA-SEC $22,500
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority   2015 VA-SEC $22,500
People's Securities Inc.   2017 VT-FIN $22,500
T&H Northwest, LLC   2012 WA-FIN $22,500
Professional Asset Management Inc.   2004 TN-SEC $22,550
Thrive Learning Institute   2009 IL-SEC $22,734
Intermarc Marketing and Cashflows   2002 AZ-SEC $22,750
Baltic Fund   2018 MO-SEC $22,760
Global Victory Capital Investment Group and Phase 7 Media Group, Inc.   2015 CA-DFPI $23,000
Seascape Management Co., LLC   2007 ID-SEC $23,000
Quad City Investment Advisors, LLC   2011 IL-SEC $23,000
Rise, Inc.   2004 KY-FIN $23,000
Redwood Trust   2007 OR-FIN $23,000
Bountiful LLC   2007 OR-FIN $23,000
MR. OIL SAVER, LLC   2014 VA-SEC $23,000
Armadillo Energy, Inc.   2014 WA-FIN $23,000
Save.Win LLC   2020 TN-SEC $23,210
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
Ekholm Wealth Management   2015 CA-DFPI $23,260
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Arizona Metro Direct Information Services Inc.   2001 OR-FIN $23,500
CRITTER CONTROL INC.   2018 VA-SEC $23,500
Paseo Biofuels, LLC   2006 MO-SEC $23,692
Matrix Petroleum, Inc.   2006 ME-SEC $24,000
Inland National Securities Inc.   2013 ND-SEC $24,000
DCS Resources Inc.   2005 OK-SEC $24,000
CTOption   2020 WI-FIN $24,000
Aggressive Advertising Associates, LLC   2012 ME-SEC $24,085
Legacy Prosperity Partners, LLC   2018 WI-FIN $24,196
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Amvest Securities, Inc.   2006 IL-SEC $24,400
Section 8 Creations, Inc.   2014 MO-SEC $24,430
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Research Investment Group, Inc.   2004 SEC $24,721
Pro Trader Institute, LLC and National Market Enterprises, Inc.   2016 MO-SEC $24,869
REB Financial   2013 NH-BSR $24,900
APT MotoVox Group Inc.   2014 SEC $25,000
CoroWare Inc.   2014 SEC $25,000
MineralRite Corporation   2014 SEC $25,000
Monster Arts Inc.   2014 SEC $25,000
Red Giant Entertainment Inc.   2014 SEC $25,000
Worthington Energy Inc.   2014 SEC $25,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Fimat International Banque SA   2004 CFTC $25,000
Refco Overseas Limited   2004 CFTC $25,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Loop Capital Markets, LLC   2017 SEC $25,000
Jaypee International, Inc.   2017 SEC $25,000
Berman & Company, P.A.   2017 SEC $25,000
Dupree Financial Group, LLC   2016 SEC $25,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
Messineo & Co., CPAs, LLC   2015 SEC $25,000
New Line Capital, LLC   2015 SEC $25,000
Eureeca Capital SPC   2014 SEC $25,000
Colorado Financial Service Corporation   2014 SEC $25,000
Revolutionary Concepts, Inc.   2018 SEC $25,000
Pinnacle Capital Markets LLC   2010 SEC $25,000
United Global Securities, Inc.   2009 SEC $25,000
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
Cardiff Lexington Corporation   2018 SEC $25,000
Milkie/Ferguson Investments, Inc.   2008 SEC $25,000
FCA Corp.   2006 SEC $25,000
Freedom Financial, Inc.   2004 SEC $25,000
Mid-Ohio Securities Corp.   2003 SEC $25,000
Harvest Financial Corporation   2003 SEC $25,000
Hawthorne Associates, Inc.   2001 SEC $25,000
CGI Capital, Inc.   2000 SEC $25,000
First Colonial Securities Group, Inc.   2000 SEC $25,000
Investment Street Company and Dynamic Trading of Miami, Inc.   2000 SEC $25,000
Frontier Oilfield Services, Inc.   2018 SEC $25,000
Dale Scott & Company, Inc.   2019 SEC $25,000
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
Fortune Oil & Gas, Ltd.   2014 AK-DBS $25,000
Global Arena Capital Corp.   2015 AK-DBS $25,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
Stephens Inc.   2013 AR-SEC $25,000
St. Bernard Financial Services, Inc.   2015 AR-SEC $25,000
Investment Planners of America, Inc.   2001 AZ-SEC $25,000
RYM Technology Holdings, L.L.C.   2007 AZ-SEC $25,000
Diamond Bay Investments, Inc.   2008 AZ-SEC $25,000
CoolTrade, Inc.   2012 AZ-SEC $25,000
SDC Montana Consulting, LLC   2013 AZ-SEC $25,000
Wesleyan Investment Foundation, Inc.   2018 AZ-SEC $25,000
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
TransCoastal Partners, LLC   2007 CA-DFPI $25,000
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DFPI $25,000
Service Team, Inc.   2014 CO-SEC $25,000
Talking Water, LLC et al.   2014 CO-SEC $25,000
Preferred Spectrum Investments, LLC et al.   2016 CO-SEC $25,000
Candy King of America, Inc.   2006 CT-SEC $25,000
Millenco, L.L.C.   2007 CT-SEC $25,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
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.