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
Profitable Investments, Inc.   2005 MD-SEC $5,795
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Quality Financial Concepts   2003 TN-SEC $5,800
Newbury Street Capital   2011 IL-SEC $5,825
Evolve Securities, Inc.   2010 IL-SEC $5,860
Maryland Capital Advisors, Inc.   2005 MD-SEC $5,930
Rhino Linings Corp.   2020 WA-FIN $5,937
Financial Solutions & Associates, Inc.   2008 MO-SEC $5,954
Interactive Brokers, LLC Interactive Brokers Group financial services 2013 AR-SEC $6,000
Guardian Wealth Management, LLC   2018 AZ-SEC $6,000
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Wright Direction.com, LLC   2013 FL-OFR $6,000
Broadreach Capital, LLC   2016 FL-OFR $6,000
Perrin, Holden and Davenport Capital Corp.   2010 IN-SEC $6,000
Legacy Outdoors, Inc.   2016 IN-SEC $6,000
James L. Paris Financial Services, Inc.   2003 ME-SEC $6,000
Woso Energy Corporation   2006 ME-SEC $6,000
Goeken Group Corp.   2018 MI-SEC $6,000
First Securities USA, Inc.   2000 MN-FIN $6,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
S3, Inc.   2008 MN-FIN $6,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Cooper Financial Solutions, LLC   2014 MO-SEC $6,000
Heartland Capital Advisors, L.C.   2016 MO-SEC $6,000
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
Industrial Realty Development, LLC   2017 MO-SEC $6,000
Capital-E Advisors, LLC   2019 MO-SEC $6,000
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
Great Circle Financial   2013 OR-FIN $6,000
Faith Based Investor LLC   2011 SC-SEC $6,000
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Miller Equity Capital Advisors   2007 TX-SEC $6,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
BROOKLYN WATER BAGEL FRANCHISE   2013 VA-SEC $6,000
MULLINS INVESTMENT SERVICES   2014 VA-SEC $6,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Reye Partners Asset Management, LLC   2020 VA-SEC $6,000
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Gigapix Studios, Inc.   2012 WA-FIN $6,000
Clairmont Capitol, Inc.   2002 WA-FIN $6,000
Woodstock Securities, Ltd.   2001 WA-FIN $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Beacon Capital Distributors, Inc.   2020 MO-SEC $6,000
Gordon Fed Financial   2020 PA-BKG $6,000
GunnAllen Financial, Inc.   2009 FINRA $6,000
Form Advisory Group, LLC   2021 TN-SEC $6,000
Svaram Group, Inc. and Svaram Global, LLC   2021 WA-SEC $6,000
Encompass Financial Advisors, LLC   2021 KY-FIN $6,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
InvestIN Securities Inc.   2004 TN-SEC $6,094
Pearson and Associates, LLC   2018 CT-SEC $6,110
Herzog Financial Group, LLC   2019 IL-SEC $6,150
Northwest Financial Advisors, Inc.   2015 AK-DBS $6,250
Questar Capital Corp.   2009 KY-FIN $6,250
Research Capital, LLC   2003 SEC $6,337
JRS Investments and Wealth Preservation, LLC   2015 WA-FIN $6,346
Vlad Investments, LLC   2011 WA-FIN $6,350
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
RSC Adventures, LLC   2013 AZ-SEC $6,500
Stirling Capital Management   2014 CA-DFPI $6,500
Cambridge Investment Research, Inc.   2012 MS-SEC $6,500
R.M. Neilio & Associates Fiscal Advisors   2015 NH-BSR $6,500
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
EJZ Investments, LLC   2014 WA-FIN $6,500
Ra Ghala Corporation, AuJeune Corporation   2013 WA-FIN $6,500
Statewide Escrow   2003 WA-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Kinetics Mutual Funds Inc.   2002 NE-DBF $6,547
Peters Financial Planning Corp.   2009 MD-SEC $6,700
Monitor Capital, LLC   2020 CT-SEC $6,720
Western Realty Investments LLC   2014 NH-BSR $6,750
Witter & Westlake Investments, Inc.   2021 KY-FIN $6,750
Financial America Securities, Inc.   2013 MT-SEC $6,769
Modern Investments LLC   2012 TN-SEC $6,890
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Caldwell Sutter Capital Inc.   2020 ME-SEC $6,936
NobelTrading.com   2010 MT-SEC $6,943
Newman Energy Corp.   2008 AL-SEC $7,000
Bluepac Management LLC   2012 AL-SEC $7,000
Lewis & Clark Outdoors, Inc.   2011 AR-SEC $7,000
NSM Securities, Inc.   2013 AR-SEC $7,000
Annett & Associates   2020 CO-SEC $7,000
Wynn Investments LLC   2020 FL-OFR $7,000
Littlefield Asset Management, Inc.   2013 GA-SEC $7,000
JT Financial Advisers, LLC   2009 IL-SEC $7,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
Ogan Financial Group, Inc. dba True Wealth Management   2015 MD-SEC $7,000
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
First Montauk Securities Corporation   2002 ND-SEC $7,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
INVESTOLOGY, INC.   2009 VA-SEC $7,000
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.