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
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
Columbia Funds Series Trust   2017 CT-SEC $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2013 IN-SEC $8,500
Richards, Merrill & Peterson, Inc.   2015 NE-DBF $8,500
First Kentucky Securities Corporation   2016 NE-DBF $8,500
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TBOC, LLC   2012 WA-FIN $8,500
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
My Social Income, Inc.   2010 IN-SEC $8,938
TPEG Securities, LLC   2020 CT-SEC $8,950
Weldon LLC   2013 AZ-SEC $9,000
The Social Equity Group, Inc.   2004 CA-DFPI $9,000
ProEquities, Inc. Dai-ichi Life financial services 2010 IN-SEC $9,000
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Grabill Bank   2011 IN-SEC $9,000
Window World, Inc.   2013 IN-SEC $9,000
Spar Cove Associates, Inc.   2015 ME-SEC $9,000
ShareValue, Inc.   2009 MO-SEC $9,000
Brookstreet Securities Corporation Inc.   2005 OR-FIN $9,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Legacy Harbor   2007 TX-SEC $9,000
FIREHOUSE RESTAURANT ET AL.   2005 VA-SEC $9,000
CAPITAL BUSINESS CONSULTANTS LLC   2013 VA-SEC $9,000
Berkshire Resources LLC and Berkshire (4OL) LLP   2007 WA-FIN $9,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Flatlander Industries, Inc.   2006 IL-SEC $9,135
Allen Company of Florida, Inc.   2006 IL-SEC $9,250
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
Dixon Insurance Agency   2005 TN-SEC $9,268
BIO-FUEL DEVELOPMENT COMPANY   2014 VA-SEC $9,300
SUMMIT WEALTH MANAGEMENT, LLC   2011 VA-SEC $9,350
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Andrew Garrett, Inc.   2006 MO-SEC $9,500
GenSafe Plastics, Inc.   2009 MO-SEC $9,500
H. Beck Inc.   2010 TX-SEC $9,500
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
Driver Opportunity Partners I, LP and Driver Management Company, LLC   2020 MD-FIN $9,500
Larada Sciences, LLC   2018 WA-FIN $9,725
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Boston Trading Advisors, LLC   2003 CFTC $10,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Wyoming Investment Management Services, LLC   2015 SEC $10,000
Securities Transfer Corporation   2011 SEC $10,000
Lone Star Transfer, Inc.   2002 SEC $10,000
ND Money Management, Inc.   2002 SEC $10,000
RansonCapital Corporation   2002 SEC $10,000
Stan D. Kiefer & Associates   2002 SEC $10,000
United Stock Transfer Inc.   2001 SEC $10,000
Focus Tech Investments, Inc.   2000 SEC $10,000
Adar International   2000 SEC $10,000
Longman & Associates, Inc.   2000 SEC $10,000
Kading Companies, S.A. and Joning Corp.   2000 SEC $10,000
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Mutual Coin Fund LLC   2019 SEC $10,000
Regal Securities   2010 NJ-AG $10,000
School Services of California, Inc.   2019 SEC $10,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Triton EP, LLC   2006 AL-SEC $10,000
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
First Standard Financial Company, LLC   2017 AR-SEC $10,000
Wesleyan Investment   2018 AR-SEC $10,000
Fidelity National Legal Systems, Inc.   2010 AR-SEC $10,000
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
Netgo, Inc. and SDIC Partnership and Camelback, Ltd.   2002 AZ-SEC $10,000
Bella Funding, L.L.C.   2008 AZ-SEC $10,000
Westcap Energy, Inc. dba Westcap Solar   2013 AZ-SEC $10,000
Neoteric Energy, Inc.   2014 AZ-SEC $10,000
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DFPI $10,000
Hayes and Associates Accountancy Corp.   2013 CA-DFPI $10,000
Artience Capital Management, LLC   2013 CA-DFPI $10,000
Highland Capital Group, Inc.   2013 CA-DFPI $10,000
Rama Capital Partners, LLC   2016 CA-DFPI $10,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Crawford Capital, LLC   2018 CA-DFPI $10,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Amada Franchise, Inc.   2020 CA-DFPI $10,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
JHS Capital Advisors, Inc. fka Pointe Capital, Inc.   2010 CT-SEC $10,000
Grove Electronics, LLC dba Chip Partners LLC   2010 CT-SEC $10,000
Newbridge Securities Corp.   2011 CT-SEC $10,000
Mullaney Management & Trust, LLC   2012 CT-SEC $10,000
RMV Investments, LLC   2013 CT-SEC $10,000
New Heart LLC, Progenesis LLC and Oz III, LLC   2013 CT-SEC $10,000
Syndicated Capital, Inc.   2014 CT-SEC $10,000
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.