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
INVESTOLOGY, INC.   2009 VA-SEC $7,000
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
911 RESTORATION FRANCHISE, INC   2015 VA-SEC $7,000
Moonlighting, Inc.   2019 VA-SEC $7,000
My Choice Hair, LLC   2020 VA-SEC $7,000
Tradeology.com, Inc.   2010 WA-FIN $7,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
First Midwest Securities, Inc.   2009 FINRA $7,000
NETTALON SECURITY SYSTEMS INC   2009 VA-SEC $7,200
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
Mackrow Asset Management Group and Runnstarr Asset Management Group   2018 MO-SEC $7,372
Newbridge Securities Corp.   2016 KY-FIN $7,476
3C Advisors & Associates, Inc.   2016 SEC $7,500
Town Residential   2015 NY-AG $7,500
Gulftex Operating, Inc.   2007 AL-SEC $7,500
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
Allied Energy, Inc.   2015 AR-SEC $7,500
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Trademark INT PTT AB   2020 CA-DFPI $7,500
ICG Financial, LLC   2007 CT-SEC $7,500
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Laidlaw & Company (UK) Ltd.   2012 CT-SEC $7,500
Obsidian Financial Group, LLC   2013 CT-SEC $7,500
Fundraising Co-Op, Inc.   2013 CT-SEC $7,500
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC   2015 CT-SEC $7,500
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
S P Consulting, LLC   2018 CT-SEC $7,500
Quarve Associates, LLC   2019 CT-SEC $7,500
Glenn Haven Enterprises   2002 FL-OFR $7,500
CGF Securities, LLC   2003 FL-OFR $7,500
21st Century Investing Advisors Corp.   2014 FL-OFR $7,500
Tatco Private Wealth Management LLC   2016 FL-OFR $7,500
Gold Mountain Management LLC   2010 ID-SEC $7,500
Gold Capital Management, Inc.   2003 IL-SEC $7,500
Janney Montgomery Scott LLC Penn Mutual financial services 2005 IL-SEC $7,500
R.J. Aubrey Investment Corp.   2005 IL-SEC $7,500
America's Best Financial Services, Inc.   2011 IL-SEC $7,500
Alfaro Oil & Gas, LLC and Pinnacle Partners Financial Corp.   2011 IL-SEC $7,500
Southwest Securities, Inc. Hilltop Holdings financial services 2012 IL-SEC $7,500
IMBB Investment Advisors, Inc.   2010 IN-SEC $7,500
Premiere Planning, Inc.   2010 IN-SEC $7,500
Provident Capital Management, Inc.   2011 IN-SEC $7,500
Fidelity Brokerage Services LLC Fidelity Investments financial services 2011 IN-SEC $7,500
National Securities Corp.   2013 IN-SEC $7,500
Basin Oil and Gas Corp.   2004 KY-FIN $7,500
Deak Reynolds Co.   2014 MD-SEC $7,500
Redrhino, Inc.   2016 MD-SEC $7,500
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
Silacon Corp.   2012 MN-FIN $7,500
Feltl and Company   2012 MN-FIN $7,500
Novak & Powell Financial Services, Inc.   2014 MO-SEC $7,500
Lerona Impex SA   2016 MO-SEC $7,500
Harmony Health Care Institute, Inc   2015 NH-BSR $7,500
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
GunnAllen Financial Inc.   2008 OK-SEC $7,500
Lloyds Capital Group LLC   2011 OK-SEC $7,500
The Rhodes Company   2000 OR-FIN $7,500
Green Rush Consulting LLC   2016 OR-FIN $7,500
LVG Holding #1255 LLC   2014 PA-BKG $7,500
Investors Capital Corp.   2016 PA-BKG $7,500
Vasari Energy Inc.   2017 PA-BKG $7,500
Great Nation Financial Corporation   2012 SC-SEC $7,500
STG Investors LLC   2015 SC-SEC $7,500
Terra Nova Trading LLC   2000 TN-SEC $7,500
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
Select Asset Management LLC   2008 TX-SEC $7,500
Global Asset Management Group Inc.   2019 TX-SEC $7,500
MIDATLANTIC IRA, LLC   2014 VA-SEC $7,500
Megadance USA Corp   2017 VA-SEC $7,500
WINGS TO GO, INC.   2018 VA-SEC $7,500
Harvest Financial Group, LLC   2019 VA-SEC $7,500
Slagel Investment Management   2019 VA-SEC $7,500
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC   2013 WA-FIN $7,500
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
Full_Tilton Ventures, LLC   2020 WA-SEC $7,500
V Wealth Advisers, LLC   2020 MO-SEC $7,500
Mascoma Wealth Management LLC   2020 NH-BSR $7,500
Access Investment, LLC   2020 NH-BSR $7,500
Fiduciary Investment Funds, LLC   2021 SD-SEC $7,500
Fiduciary Investment Funds, LLC   2021 ND-SEC $7,500
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Financial Planning Center, LLP   2021 TN-SEC $7,500
Rhoads Lucca Capital Management   2013 IL-SEC $7,585
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
Millennium Group of New York, LLC   2001 SEC $7,602
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
Comfort Dental Group, Inc.   2012 WA-FIN $7,688
FETCH! PET CARE INC.   2011 VA-SEC $7,700
Vision Technologies, Inc.   2014 AR-SEC $8,000
QVG, LLC   2019 AR-SEC $8,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
Pocketinns, Inc.   2018 IL-SEC $8,000
Fuhrmann Capital LLC   2010 IN-SEC $8,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
Financial Concepts, Inc.   2005 MD-SEC $8,000
Delaware Distributors, L.P.   2009 MD-SEC $8,000
VC Direct Solutions   2013 ME-SEC $8,000
Eastern Energy Corp.   2003 MN-FIN $8,000
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.