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
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $20,000
Pelican Development L.L.C.   2009 ND-SEC $20,000
Landolt Securities Inc.   2014 ND-SEC $20,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
Focus Capital Wealth Management Inc.   2013 NH-BSR $20,000
Keystone Equity Group Inc.   2011 OK-SEC $20,000
Arvest Asset Management   2013 OK-SEC $20,000
R&J Financial Inc.   2017 OK-SEC $20,000
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
Leading Solutions Inc.   2002 OR-FIN $20,000
BAK Ventures, Inc.   2011 OR-FIN $20,000
Capital Guardian Inc.   2012 OR-FIN $20,000
Equity Options Inc. of Bend   2013 OR-FIN $20,000
DayTradingBuddy LLC   2014 OR-FIN $20,000
Starline Solutions, LLC   2020 OR-FIN $20,000
Private Advisor Group LLC   2017 PA-BKG $20,000
RWM Asset Management LLC   2019 PA-BKG $20,000
Klein Pavlis & Peasley Financial, Inc.   2019 PA-BKG $20,000
Morgan Keegan & Co. Inc. Raymond James Financial financial services 2010 RI-FIN $20,000
Meridian Capital Advisers, LLC   2013 SC-SEC $20,000
Brooks Communications LLC   2016 SC-SEC $20,000
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Protrader Securities Corporation   2001 TX-SEC $20,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
IMS Securities Inc.   2012 TX-SEC $20,000
Brazos Securities Inc.   2018 TX-SEC $20,000
FRA Wealth Management LLC   2019 TX-SEC $20,000
Woodland Resources LLC et al.   2020 TX-SEC $20,000
IAC SECURITIES, INC.   2002 VA-SEC $20,000
ALPHACOM, INC.   2002 VA-SEC $20,000
L-O-T Development Wells, LLP   2008 VA-SEC $20,000
enTerra Seven, LLP   2008 VA-SEC $20,000
KAT-5-2, LLP   2008 VA-SEC $20,000
GREAT AMERICAN ADVISORS, INC.   2010 VA-SEC $20,000
Cellairis Franchise, Inc.   2010 VA-SEC $20,000
Stratus Franchising, LLC   2011 VA-SEC $20,000
ATLANTIC SUN CONTROL, INC.   2013 VA-SEC $20,000
LINCOLN FINANCIAL SECURITIES Lincoln National financial services 2018 VA-SEC $20,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
TreeFree Biomass Solutions, Inc.   2016 WA-FIN $20,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
LDS Securities, LLC   2003 WA-FIN $20,000
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
MGMC, LP   2020 MI-SEC $20,000
CBIG CCS, LLC   2020 MI-SEC $20,000
Halydean Corp.   2020 WA-SEC $20,000
Biogenic, Inc.   2020 MI-SEC $20,000
Black Box Fund   2020 MI-SEC $20,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
Olympus Securities, LLC   2010 FINRA $20,000
Pulse Trading, Inc.   2004 FINRA $20,000
Windsor Capital Advisors, Inc.   2001 FINRA $20,000
Prudential Securities Incorporated Wells Fargo financial services 2001 FINRA $20,000
Pershing Trading Company, L.P.   2001 FINRA $20,000
ING Barings LLC   2001 FINRA $20,000
CyBerBroker, Inc.   2001 FINRA $20,000
Summit Trading, Inc.   2001 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2021 SD-SEC $20,000
Remote Mowers, LLC   2021 KY-FIN $20,000
McMahan Securities Co. L.P.   2010 CT-SEC $20,130
AllianceBernstein L.P. Equitable Holdings financial services 2013 CO-SEC $20,232
Hold Brothers Online Investment Services LLC   2010 RI-FIN $20,300
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
Safe Harbour LLC   2019 CT-SEC $20,450
First Command Advisory Services, Inc.   2021 VA-SEC $20,500
Gibraltar Precious Metals Corp.   2011 OK-SEC $20,573
Prudential Investments, LLC   2009 MD-SEC $20,712
PureInvestor.com, Inc. and PIPS Inc. and PIC Trust Ltd.   2005 MO-SEC $20,800
Corporate Architects, Inc.   2004 AZ-SEC $20,925
Brookstreet Securities Corp.   2007 MO-SEC $20,950
E&H Investment Services, LLC   2021 SC-INS $20,975
Sunset Financial Services, Inc.   2002 FL-OFR $21,000
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
REGAL NAILS, LLC   2007 VA-SEC $21,000
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
Moe Investment Management, LLC   2015 WA-FIN $21,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Great Nation Investment Corp.   2008 AR-SEC $21,112
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
SF Investments Inc.   2005 TN-SEC $21,325
I. P. Holding, L.L.C.   2010 MO-SEC $21,470
Basic Investors Inc.   2008 CT-SEC $21,500
Eagle Strategies LLC   2011 IL-SEC $21,500
Couch Oil & Gas, Inc.   2016 WA-FIN $21,500
Capital Planning Alliance, Inc.   2010 IL-SEC $21,701
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
ELITE SPORTS ENTERPRISES, INC.   2015 VA-SEC $22,000
EXPANSION INDUSTRIES, LLC   2017 VA-SEC $22,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
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
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.