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
Medallion Wealth Advisors LLC   2021 SEC $25,000
Mighty Oak Strong America Investment Company   2021 SEC $25,000
O'Brien Greene & Co. Inc.   2021 SEC $25,000
Quantitative Asset Management LLC   2021 SEC $25,000
Summit Financial Advisors Inc.   2021 SEC $25,000
Westbourne Investments Inc.   2021 SEC $25,000
Capital Portfolio Management Inc.   2021 SEC $25,000
Pioneer Square Advisors, LLC   2021 WA-SEC $25,000
Edward Jones Jones Financial financial services 2004 FINRA $25,181
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
Choice Investments, Inc.   2000 FINRA $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
vFinance Investments, Inc.   2009 FINRA $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
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
Oracle Forex Fund, LP   2016 MO-SEC $28,030
The Stock Exchange Trading Company, LLC   2019 MO-SEC $28,379
Petro America Corp.   2010 MO-SEC $28,660
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 MD-SEC $28,706
eCity, Inc.   2012 MO-SEC $29,000
Carret Securities LLC   2002 ND-SEC $29,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads   2015 VA-SEC $29,000
Santos, Postal & Company, P.C.   2016 SEC $29,076
Prescient Capital Partners, Ltd.   2012 SEC $29,968
School Business Consulting, Inc   2016 SEC $30,000
IMC Asset Management, Inc.   2013 SEC $30,000
Egan-Jones Ratings Company   2013 SEC $30,000
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
WestPark Capital   2014 NJ-AG $30,000
Overland Mortgage Corp.   2010 AR-SEC $30,000
Capital Markets Advisory, LLC fka Carr Miller Capital Investments, LLC   2012 AR-SEC $30,000
M-Corp International, Ltd. and M-Corp International   2002 AZ-SEC $30,000
RG Capital Management, LLC   2017 CA-DFPI $30,000
Southern Connecticut Financial Services, Inc.   2007 CT-SEC $30,000
Java's Brewin Development, Inc.   2008 CT-SEC $30,000
TDA Advantage Trust   2010 CT-SEC $30,000
First Capital Services, Inc.   2000 FL-OFR $30,000
Brookes Ventures, LLC dba Aulterra International   2016 ID-SEC $30,000
Conestoga Settlement Trust et al.   2018 ID-SEC $30,000
Genesis Worldwide, Inc.   2003 IL-SEC $30,000
Christian Dream Builder Financial Planning, Inc.   2005 IL-SEC $30,000
Millennium Associates   2005 IL-SEC $30,000
David A. Noyes & Company   2008 IN-SEC $30,000
Cana Financial Advisors, LLC   2012 IN-SEC $30,000
Hallmark Investments, Inc.   2013 IN-SEC $30,000
Ocean International Marketing BV and Churchill Associates, Ltd.   2004 MD-SEC $30,000
Sterling Advance Marketing, Inc.   2004 MD-SEC $30,000
Dr. eBill.com, Inc.   2006 MD-SEC $30,000
On The Mark Construction Co.   2009 MD-SEC $30,000
Word Professional Institute   2011 MD-SEC $30,000
PASCO Community Development Foundation, Inc.   2011 MD-SEC $30,000
KFK Enterprises.org et al.   2012 MD-SEC $30,000
Inspired Capital Management   2015 MD-SEC $30,000
Diplomat Consulting Services, LLC   2016 MI-SEC $30,000
Park City Distributors   2016 MI-SEC $30,000
OE Capital Ventures, LLC   2016 MI-SEC $30,000
Victory H2O Distribution, LLC   2017 MI-SEC $30,000
Zuvan Technologies, Inc.   2018 MI-SEC $30,000
LA Developers, LLC   2020 MI-SEC $30,000
Funky Shark, LLC   2012 MT-SEC $30,000
Joseph Stone Capital, LLC   2017 MT-SEC $30,000
Principal Life Insurance Company Principal Financial financial services 2004 ND-SEC $30,000
Piper Jaffray & Co. Piper Sandler financial services 2005 ND-SEC $30,000
Montgomery, Goff & Bullis P.C.   2009 ND-SEC $30,000
JonesTrading Institutional Services LLC   2013 NH-BSR $30,000
WCM Financial Services and Equity Options, Inc.   2013 OR-FIN $30,000
CFG Solutions, LLC   2013 OR-FIN $30,000
One World Energy Advisors, LLC   2017 OR-FIN $30,000
Woodbridge Structured Funding LLC   2017 PA-BKG $30,000
Roche Asset Management LLC   2018 PA-BKG $30,000
Kestra Investment Services LLC   2019 PA-BKG $30,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2011 SC-SEC $30,000
Legend Securities Inc.   2016 SC-SEC $30,000
Conestoga Trust   2017 SC-SEC $30,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Mountain States Capital Inc.   2000 TX-SEC $30,000
SMH Capital Inc.   2008 TX-SEC $30,000
Richards, Merrill & Peterson Inc.   2016 TX-SEC $30,000
GLOBALINK SECURITIES, INC.   2001 VA-SEC $30,000
KAT-5, LLP   2008 VA-SEC $30,000
Phoenix Technologies LLC   2009 VA-SEC $30,000
TRIUNE, LLC   2012 VA-SEC $30,000
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.