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
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Advantage Capital Corp.   2007 CT-SEC $25,000
Westrock Advisors, Inc.   2008 CT-SEC $25,000
Press-A-Print International LLC   2009 CT-SEC $25,000
Royal Burgundy International, Inc.   2010 CT-SEC $25,000
Forman Financial Services, LLC   2010 CT-SEC $25,000
Blue Coast Financial Group, Inc.   2010 CT-SEC $25,000
Portfolio Timing Service dba PTS Asset Management   2011 CT-SEC $25,000
Ulysses Partners, LLC   2014 CT-SEC $25,000
Essex Financial Services, Inc.   2015 CT-SEC $25,000
Harbor Vista Wealth Management LLC   2016 CT-SEC $25,000
Meyers Associates, L.P. nka Windsor Street Capital, L.P.   2017 CT-SEC $25,000
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
Scanlon & Associates   2001 FL-OFR $25,000
Hornor, Townsend & Kent, Inc.   2002 FL-OFR $25,000
Todderwatch.com, Inc.   2002 FL-OFR $25,000
Leland Energy, Inc.   2015 FL-OFR $25,000
Leland Kentucky Holdings, Inc.   2015 FL-OFR $25,000
Cumberland Revenue Drilling Fund, LLP   2015 FL-OFR $25,000
Derrick Management Inc.   2019 GA-SEC $25,000
Blazin' Enterprises, Inc. and Craft Enterprises, LLC   2012 HI-SEC $25,000
Avenue Capital Investment, Inc.   2003 ID-SEC $25,000
McDonald Investments, Inc.   2003 ID-SEC $25,000
Cache Private Capital Diversified Fund LLC   2017 ID-SEC $25,000
Hardy Asset Management   2006 IL-SEC $25,000
Corporate I Communications & Technology, Inc.   2017 IN-SEC $25,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $25,000
Financial Sources, Inc.   2005 MD-SEC $25,000
Medwell Group, Inc.   2006 MD-SEC $25,000
Financial Sources, Inc.   2007 MD-SEC $25,000
Credit Solution and Financial Services, Inc.   2008 MD-SEC $25,000
Telkonet, Inc. and Telkonet Communications, Inc.   2008 MD-SEC $25,000
WEI Mortgage Corp.   2010 MD-SEC $25,000
The Endowment TEI Fund, L.P.   2011 MD-SEC $25,000
L3 Investments Corp.   2012 MD-SEC $25,000
Global Gold, LLC   2012 MD-SEC $25,000
VipBinary.com et al.   2012 MD-SEC $25,000
Inter Reef Ltd. dba Profitable Sunrise   2013 MD-SEC $25,000
Giordano Asset Management, LLC and Harbor Investment Solutions, LLC   2013 MD-SEC $25,000
Alms and Associates, Inc.   2013 MD-SEC $25,000
InteliCloud Holdings, Inc.   2014 ME-SEC $25,000
R.A.M. Developments, LLC   2008 MO-SEC $25,000
Crossroads Media, Inc.   2006 MS-SEC $25,000
Positive News Increase, Inc.   2006 MS-SEC $25,000
Quadra Pay Land, LLC and Eavenson Family LP   2006 MS-SEC $25,000
W & R Insurance Agency of Montana, Inc.   2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MT-SEC $25,000
Linsco Private Ledger Corp.   2000 ND-SEC $25,000
Cooper Capital, Inc.   2015 NH-BSR $25,000
Grady and Associates, LLC   2019 NH-BSR $25,000
Wilshire-Pennington Group Inc.   2018 OK-SEC $25,000
The Sheffield Group   2000 OR-FIN $25,000
High Tech Travel Services Corporation   2000 OR-FIN $25,000
Skylink Telecommunications Corp.   2001 OR-FIN $25,000
Full Power Group Inc.   2001 OR-FIN $25,000
Courant Consulting Group Inc.   2001 OR-FIN $25,000
21 Century Power   2001 OR-FIN $25,000
GBS Funding   2003 OR-FIN $25,000
Northwest Paytele Communications Inc.   2005 OR-FIN $25,000
International Business Development Ltd.   2011 OR-FIN $25,000
Spectrum Wealth Management LLC   2018 PA-BKG $25,000
Malaguti Wealth Management LLC   2018 PA-BKG $25,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
Hattier, Sanford & Reynoir LLP   2007 TN-SEC $25,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Abshier Webb Donnelly & Baker Inc.   2009 TX-SEC $25,000
Milkie/Ferguson Investments Inc.   2009 TX-SEC $25,000
Trade-PMR Inc.   2018 TX-SEC $25,000
Mintage Mining LLC et al.   2019 TX-SEC $25,000
SCOTT & STRINGFELLOW LLC   2011 VA-SEC $25,000
Skrimp Shack LLC   2020 VA-SEC $25,000
Pacific West Securities, Inc.   2014 WA-FIN $25,000
CS Note Holdco, LLC   2010 WA-FIN $25,000
Green Square Capital Louisville LLC   2020 KY-FIN $25,000
Haddon Wealth Management LLC   2020 PA-BKG $25,000
SoluTech, Inc.   2020 SEC $25,000
Practical Wealth Advisors, LLC   2020 PA-BKG $25,000
Applied BioSciences Corp.   2020 SEC $25,000
SB Financial Group   2020 WI-FIN $25,000
Daedalus Capital, LLC   2009 MO-SEC $25,350
American Registrar & Transfer Company   2016 SEC $25,649
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
Clear Scope Advisors, Inc.   2019 SEC $25,678
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
Solar Evolution, Inc.   2012 MO-SEC $25,985
ETF Trend Trading   2016 NH-BSR $25,997
Rainmaker Securities, Inc.   2016 IL-SEC $26,000
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
Medicaid Planning Specialists, Inc.   2014 MS-SEC $26,200
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
vFinance Investments, Inc.   2008 SEC $26,559
Berry Resources, Inc. et al.   2014 CA-DFPI $26,700
AAA Venture Business Brokers, Ltd.   2014 IL-SEC $27,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Zulutoys Limited   2016 MO-SEC $27,367
The Hubbard Group, PC and Holding Group International, Ltd.   2010 MO-SEC $27,450
Front Row Ticket Agency Inc.   2015 NH-BSR $27,500
Walker Financial Advisors, Inc.   2013 CA-DFPI $27,600
Progress Marketing Management, LLC   2019 MO-SEC $27,645
Securities Compliance Group, Ltd.   2018 SEC $27,655
JC Management, Inc.   2004 SEC $27,991
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.