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
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
Greenleaf Companies, LLC and The Real Estate Company of Missouri   2010 MO-SEC $47,472
Carhart Capital Management, LLC   2016 FL-OFR $46,500
Ascend Capital, LLC   2003 SEC $46,258
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
LendingClub Corp. LendingClub Corp. financial services 2015 CA-DFPI $46,000
Mercury Capital   2012 SEC $45,747
AflacAssist.com, LLC   2015 MO-SEC $45,570
McLean Asset Management Corporation   2012 NH-BSR $45,300
Benchmark Capital Advisors LLC   2019 SEC $45,182
United Gold Direct, LLC   2020 CA-DFPI $45,112
Navigators International Management Co., Ltd.   2011 SEC $45,000
Adams Capital Management   2017 SEC $45,000
VisionPoint Advisory Group, LLC   2017 SEC $45,000
Groh Asset Management, Inc.   2004 SEC $45,000
Brut, LLC Nasdaq Inc. financial services 2003 SEC $45,000
Delta Equity Services Corporation   2002 SEC $45,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Whitcraft Capital Management, Inc.   2006 CA-DFPI $45,000
Graybar Electric Company, Inc. Graybar Electric wholesalers 2006 CA-DFPI $45,000
Lighthouse Real Estate Consulting, LLC et al.   2013 CA-DFPI $45,000
Bird Rock Management, LLC et al.   2016 CA-DFPI $45,000
Beryl Capital Management, LLC   2016 CA-DFPI $45,000
Cuppy's Coffee & More, Inc.   2010 CT-SEC $45,000
Itradedirect.com Corp.   2010 CT-SEC $45,000
Sunset Capital Assets, Inc.   2020 KY-FIN $45,000
LendingClub Corporation LendingClub Corp. financial services 2013 ME-SEC $45,000
Aegis Capital LLC   2013 NH-BSR $45,000
Buy Car Notes.com Inc. et al.   2012 OK-SEC $45,000
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
BLOOP FROZEN YOGURT, LLC   2018 VA-SEC $45,000
Lombard Advisers, Inc.   2019 VA-SEC $45,000
Financial & Estate Strategies, Inc.   2005 WA-FIN $45,000
Askar Corporation   2011 FINRA $45,000
Fox & Company Investments Inc.   2009 FINRA $45,000
Sunshine 61 Trust LLC   2021 NJ-BOS $45,000
Verus Capital Partners, LLC   2021 SEC $45,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
Investment Partners Ltd.   2019 SEC $43,384
Virtual Mining Corp. and Active Mining Corp.   2015 MO-SEC $43,115
Private Portfolio, Inc.   2019 SEC $43,061
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)   2019 SEC $43,034
UMB Financial Services, Inc.   2008 MO-SEC $43,000
Hardwick Capital Management, LLC   2018 IN-SEC $42,984
Mowery Capital Management LLC   2016 TX-SEC $42,930
Sands Brothers Asset Management LLC   2009 CT-SEC $42,500
Equity Associates LLC   2013 OK-SEC $42,500
Mutual Modeling Associates, Inc.   2012 SC-SEC $42,500
John Thomas Financial, Inc.   2012 AR-SEC $42,421
Financial Network Investment Corp.   2011 MO-SEC $42,260
Cobble Creek Homes, LLC   2008 MO-SEC $42,200
Unity Oil & Gas   2018 MO-SEC $42,135
Moloney Securities Co., Inc.   2016 SEC $41,500
Edward D. Jones & Co. L.P. Jones Financial financial services 2010 MO-SEC $40,500
Smith Hayes Financial Services Corporation   2015 SEC $40,000
Financial Fiduciaries, LLC   2018 SEC $40,000
360 Financial, Inc.   2017 SEC $40,000
Commerce Bank Capital Markets Group   2015 SEC $40,000
Estrada Hinojosa & Company, Inc.   2015 SEC $40,000
1st Discount Brokerage, Inc.   2012 SEC $40,000
CapitalWorks Investment Partners, LLC   2006 SEC $40,000
Hutchens Investment Management, Inc.?   2006 SEC $40,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc   2005 SEC $40,000
Renberg Capital Management, Inc.   2002 SEC $40,000
Pryor, McClendon, Counts & Co., Inc.   2002 SEC $40,000
Tiffany Capital Advisors, Inc.   2001 SEC $40,000
Prospera Financial Services, Inc.   2000 SEC $40,000
Charter Capital Management, LLC   2019 SEC $40,000
Amadeus Wealth Advisors, LLC   2019 SEC $40,000
Naya Ventures, LLC   2020 SEC $40,000
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
Mirae Asset Wealth Management (USA) Inc.   2018 CA-DFPI $40,000
Conestoga Trust   2017 CO-SEC $40,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2012 CT-SEC $40,000
Ameritrade, Inc.   2009 DE-SEC $40,000
Strategic Strategies, Inc.   2002 FL-OFR $40,000
WM Financial Services, Inc.   2003 FL-OFR $40,000
Asset Capital Consulting, Inc.   2014 FL-OFR $40,000
Premier Marketing & Investments, Inc.   2001 ID-SEC $40,000
EMI Sun Village, Inc. et al.   2007 ID-SEC $40,000
Bikini Vending, Inc.   2005 IL-SEC $40,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2007 IL-SEC $40,000
Lockhart and Rosenburg, Inc.   2018 IL-SEC $40,000
Nations Trust First Initiatives   2004 MD-SEC $40,000
Checkmake Financial, Inc.   2006 MD-SEC $40,000
American River Capital, Inc. et al.   2009 MD-SEC $40,000
Retro Wall Street Advisors et al.   2015 MD-SEC $40,000
Mongolian Gold Standard, LLC   2018 MD-SEC $40,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
River East Financial, Ltd.   2016 MI-SEC $40,000
Patriots Energy Group, Inc.   2016 MI-SEC $40,000
Creative Wealth Strategies, Inc.   2017 MI-SEC $40,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
Treasure Enterprise, LLC   2017 MI-SEC $40,000
Safe Harbor Retirement Solutions, LLC   2018 MN-FIN $40,000
Planet EV's Inc.   2007 MO-SEC $40,000
LPL Financial LLC LPL Financial financial services 2018 MS-SEC $40,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 NE-DBF $40,000
Spartan Capital Securities LLC   2013 NH-BSR $40,000
J.D. Nicholas & Associates   2013 NH-BSR $40,000
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.