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
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. Macquarie 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
Newbridge Securities Corporation   2011 FINRA $25,000
Equity Station, Inc.   2010 FINRA $25,000
Investors Capital Corp.   2009 FINRA $25,000
ProEquities, Inc. Dai-ichi Life financial services 2009 FINRA $25,000
National Securities Corporation   2009 FINRA $25,000
Dalton Kent Securities Group, Inc.   2001 FINRA $25,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2001 FINRA $25,000
Lutheran Brotherhood Securities Corp.   2001 FINRA $25,000
1-800DAYTRADE.COM, Inc.   2000 FINRA $25,000
The Short Interest, LLC and The Short Manager, LLC   2021 OR-FIN $25,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
Fortem Resources, Inc.   2021 SEC $25,000
TruTankless, Inc.   2021 SEC $25,000
ShiftPixy, Inc.   2021 SEC $25,000
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
Igen Networks Corp.   2021 SEC $25,000
Emperor Investments, Inc.   2021 SEC $25,000
Legacy Investment Advisors, LLC   2021 PA-BKG $25,000
Luminary Capital, LLC   2021 PA-BKG $25,000
Canton Hathaway LLC   2021 SEC $25,000
Carmel Capital Management LLC   2021 SEC $25,000
Castle Wealth Planning LLC   2021 SEC $25,000
Harold Davidson & Associates Inc.   2021 SEC $25,000
John A. Bysko Associates   2021 SEC $25,000
Madden Funds Management Ltd.   2021 SEC $25,000
Medallion Wealth Advisors LLC   2021 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.