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
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Mountain States Capital Inc.   2000 TX-SEC $30,000
SMH Capital Inc.   2008 TX-SEC $30,000
Richards, Merrill & Peterson Inc.   2016 TX-SEC $30,000
GLOBALINK SECURITIES, INC.   2001 VA-SEC $30,000
KAT-5, LLP   2008 VA-SEC $30,000
Phoenix Technologies LLC   2009 VA-SEC $30,000
TRIUNE, LLC   2012 VA-SEC $30,000
Thornton Investment Management PLLC   2020 VT-FIN $30,000
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC   2016 WA-FIN $30,000
Southeast Investments, N.C., Inc.   2016 WA-FIN $30,000
Ashland Partners L.P.   2014 WA-FIN $30,000
Blue Chip Focus Fund, LP et al.   2013 WA-FIN $30,000
Mike Watson Investments, LLC and Mike Watson Capital, LLC   2010 WA-FIN $30,000
Austin & Associates   2006 WA-FIN $30,000
Great Northern Financial Services, Inc.   2004 WA-FIN $30,000
Park View School, Inc.   2020 SEC $30,000
Funding the Gap, LLC   2020 SEC $30,000
BOSC, Inc.   2005 FINRA $30,000
Pershing LLC   2005 FINRA $30,000
Prager, Sealy & Co., LLC   2005 FINRA $30,000
National Financial Services, L.L.C.   2001 FINRA $30,000
Datek Online Brokerage Services, LLC   2001 FINRA $30,000
GSE Properties, LLC and 544 South Joint Venture   2021 SC-INS $30,000
Sommers Financial Management, LLC   2021 WA-SEC $30,000
Prescient Capital Partners, Ltd.   2012 SEC $29,968
Santos, Postal & Company, P.C.   2016 SEC $29,076
eCity, Inc.   2012 MO-SEC $29,000
Carret Securities LLC   2002 ND-SEC $29,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads   2015 VA-SEC $29,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 MD-SEC $28,706
Petro America Corp.   2010 MO-SEC $28,660
The Stock Exchange Trading Company, LLC   2019 MO-SEC $28,379
Oracle Forex Fund, LP   2016 MO-SEC $28,030
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
JC Management, Inc.   2004 SEC $27,991
Securities Compliance Group, Ltd.   2018 SEC $27,655
Progress Marketing Management, LLC   2019 MO-SEC $27,645
Walker Financial Advisors, Inc.   2013 CA-DFPI $27,600
Front Row Ticket Agency Inc.   2015 NH-BSR $27,500
vFinance Investments, Inc.   2009 FINRA $27,500
The Hubbard Group, PC and Holding Group International, Ltd.   2010 MO-SEC $27,450
Zulutoys Limited   2016 MO-SEC $27,367
AAA Venture Business Brokers, Ltd.   2014 IL-SEC $27,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Choice Investments, Inc.   2000 FINRA $27,000
Berry Resources, Inc. et al.   2014 CA-DFPI $26,700
vFinance Investments, Inc.   2008 SEC $26,559
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
Medicaid Planning Specialists, Inc.   2014 MS-SEC $26,200
Rainmaker Securities, Inc.   2016 IL-SEC $26,000
TROPICAL SMOOTHIE ET AL.   2008 VA-SEC $26,000
ETF Trend Trading   2016 NH-BSR $25,997
Solar Evolution, Inc.   2012 MO-SEC $25,985
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
Clear Scope Advisors, Inc.   2019 SEC $25,678
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
American Registrar & Transfer Company   2016 SEC $25,649
Daedalus Capital, LLC   2009 MO-SEC $25,350
Edward Jones Jones Financial financial services 2004 FINRA $25,181
APT MotoVox Group Inc.   2014 SEC $25,000
CoroWare Inc.   2014 SEC $25,000
MineralRite Corporation   2014 SEC $25,000
Monster Arts Inc.   2014 SEC $25,000
Red Giant Entertainment Inc.   2014 SEC $25,000
Worthington Energy Inc.   2014 SEC $25,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Fimat International Banque SA   2004 CFTC $25,000
Refco Overseas Limited   2004 CFTC $25,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Loop Capital Markets, LLC   2017 SEC $25,000
Jaypee International, Inc.   2017 SEC $25,000
Berman & Company, P.A.   2017 SEC $25,000
Dupree Financial Group, LLC   2016 SEC $25,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
Messineo & Co., CPAs, LLC   2015 SEC $25,000
New Line Capital, LLC   2015 SEC $25,000
Eureeca Capital SPC   2014 SEC $25,000
Colorado Financial Service Corporation   2014 SEC $25,000
Revolutionary Concepts, Inc.   2018 SEC $25,000
Pinnacle Capital Markets LLC   2010 SEC $25,000
United Global Securities, Inc.   2009 SEC $25,000
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
Cardiff Lexington Corporation   2018 SEC $25,000
Milkie/Ferguson Investments, Inc.   2008 SEC $25,000
FCA Corp.   2006 SEC $25,000
Freedom Financial, Inc.   2004 SEC $25,000
Mid-Ohio Securities Corp.   2003 SEC $25,000
Harvest Financial Corporation   2003 SEC $25,000
Hawthorne Associates, Inc.   2001 SEC $25,000
CGI Capital, Inc.   2000 SEC $25,000
First Colonial Securities Group, Inc.   2000 SEC $25,000
Investment Street Company and Dynamic Trading of Miami, Inc.   2000 SEC $25,000
Frontier Oilfield Services, Inc.   2018 SEC $25,000
Dale Scott & Company, Inc.   2019 SEC $25,000
Index Analysis Pool, LP and Index Analysis Services   2006 AK-DBS $25,000
Fortune Oil & Gas, Ltd.   2014 AK-DBS $25,000
Global Arena Capital Corp.   2015 AK-DBS $25,000
Garden State Securities, Inc.   2016 AK-DBS $25,000
Stephens Inc.   2013 AR-SEC $25,000
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.