Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
ANY TEST FRANCHISING, INC.   2013 VA-SEC $35,000
INDEPENDENT FINANCIAL GROUP, LLC   2014 VA-SEC $35,000
MAXIMIZED LIVING HEALTH CENTERS LLC   2017 VA-SEC $35,000
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Urban Traffic   2019 WA-FIN $35,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
Beacon Development Group   2007 WA-FIN $35,000
Sukarne SA de CV   2020 CFTC $35,000
Carlin Equities Corporation   2004 FINRA $35,000
FutureTrade Securities, L.L.C   2004 FINRA $35,000
Mutual Service Corporation, Inc.   2001 FINRA $35,000
Cornerstone Securities Corporation   2001 FINRA $35,000
Brandywine Financial Group Inc.   2017 PA-BKG $34,500
ROLFund.com and Crunkland Records, Ltd. and Crunkvest Ltd.   2007 MO-SEC $34,390
Consolidated Wealth Holdings, Inc.   2015 ID-SEC $34,325
Macian Wealth Management, LLC   2017 CA-DFPI $34,236
CWS Capital Partners, LLC   2015 CA-DFPI $34,140
Winter, Kloman, Moter & Repp, S.C.   2018 SEC $33,848
Santa Rita Partners, Inc.   2011 CA-DFPI $33,846
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
Meyers Associates, L.P.   2015 MT-SEC $33,531
Ogilvie Security Advisors Corp.   2010 IN-SEC $33,525
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 CA-DFPI $33,520
Glenn A. Libertore Financial Services   2002 AZ-SEC $33,460
Investment Research Corp   2019 SEC $33,188
DB Investment Managers, Inc.   2005 SEC $33,159
Pharyn Resources, Inc.   2017 MO-SEC $33,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
TENGFEI, INC.   2009 VA-SEC $33,000
Leader Capital Corp.   2005 ID-SEC $32,825
David Lerner Associates, Inc.   2004 FINRA $32,711
Schmidt Baking Distribution, LLC   2019 MD-SEC $32,500
RealizedEquityServices LLC   2018 WA-FIN $32,500
Horizon Commercial Real Estate Funding, Inc. and Sunshine Inn, Inc.   2012 WA-FIN $32,500
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
First Union Brokerage Services, Inc. Wells Fargo financial services 2001 FINRA $32,500
J.D. Nicholas & Associates, Inc.   2013 AR-SEC $32,027
Traverse Bay Investments Company, Ltd.   2012 IN-SEC $32,000
lntellicloud Holdings, Inc.   2014 NH-BSR $32,000
TENGFEI, INC.   2013 VA-SEC $32,000
Oracle Stone Ltd.   2017 WA-FIN $32,000
Research Money Management, LLC   2016 WA-FIN $32,000
Mavixbtc Ltd.   2019 MO-SEC $31,844
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
EquityAlert.com, Inc. and Innotech Corporation   2003 SEC $31,555
WORLD ONLINE 247, INC.   2003 VA-SEC $31,500
Brecek & Young Advisors, Inc.   2004 FINRA $31,224
MacKenzie Realty Capital, Inc.   2015 MO-SEC $31,000
Young Oil Corporation   2006 RI-FIN $31,000
Capital Energy Group LLC   2018 WA-FIN $31,000
Ambit Capital Pvt. Ltd.   2012 SEC $30,910
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 NH-BSR $30,800
LPL Financial LLC LPL Financial financial services 2012 MT-SEC $30,500
Park Financial Group, Inc.   2007 SEC $30,373
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
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.