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
Genshare Acquisition, Inc.   2012 MO-SEC $18,000
Moloney Securities Co., Inc.   2016 MO-SEC $18,000
Westpark Capital, Inc.   2017 MO-SEC $18,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Upstream Solutions, LLC   2015 WA-FIN $18,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $18,000
The BABCO Group, LLC   2007 ID-SEC $17,877
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
Redbird Management Group   2011 IN-SEC $17,800
Rothschild Investment Corp.   2008 AL-SEC $17,646
Harvest Financial Corp.   2006 IL-SEC $17,600
Secured Financial Services, Inc.   2005 MD-SEC $17,500
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
Great American Investors, Inc.   2007 MO-SEC $17,500
Bruce Fund, Inc.   2006 NE-DBF $17,500
Spartan Capital Securities LLC   2012 NH-BSR $17,500
Granite Associates Inc.   2005 TN-SEC $17,500
EDI Financial Inc.   2008 TX-SEC $17,500
EASTCORP BUSINESS SERVICES   2009 VA-SEC $17,500
THE SENIOR'S CHOICE INC.   2010 VA-SEC $17,500
Thome Financial Management, LLC   2012 WA-FIN $17,500
MKT Investments, LLC   2021 NH-BSR $17,500
Donnelly & Co., Inc.   2000 FINRA $17,500
SBG Forever, Inc. et al.   2013 IN-SEC $17,465
Newbridge Securities Corp.   2013 AR-SEC $17,377
Prudential Equity Group, LLC Prudential Financial financial services 2004 FINRA $17,306
DOUGLAS AQUATICS, INC.   2010 VA-SEC $17,300
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $17,204
CSIR Group, LLC   2018 SEC $17,142
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $17,000
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
NAI BLUESTONE REAL ESTATE   2011 VA-SEC $17,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Gulftex Operating, Inc. and Frenchtown Acres, LLC   2014 WA-FIN $17,000
Milestone Life Settlement Fund, LLC et al.   2014 WA-FIN $17,000
Safe Harbor Financial LLC   2009 MO-SEC $16,920
Guaranteed Investigations, Inc.   2019 SEC $16,846
Pike Financial Group, LLC   2016 MO-SEC $16,800
Umbrella Research, LLC   2017 SEC $16,676
Chandy Enterprises, LLC   2017 MD-SEC $16,500
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
B&B Worm Farm   2002 OK-SEC $16,400
The RWS Group, Inc.   2004 MO-SEC $16,120
Rafferty Capital Markets, LLC   2015 CT-SEC $16,050
Silver Oak Securities, Inc.   2010 KY-FIN $16,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Sunbelt Securities, Inc.   2011 KY-FIN $15,770
Agricola Associates, LLC   2015 MO-SEC $15,755
BTS Securities Corporation   2008 RI-FIN $15,694
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
LARADA SCIENCES, INC.   2018 VA-SEC $15,500
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
Swiss America Trading Corp.   2021 MN-FIN $15,292
Great River Soy Processing Cooperative   2006 MO-SEC $15,037
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
HBA Advisors, LLC   2018 SEC $15,000
Romano Brothers & Company   2018 SEC $15,000
D.M. Keck & Company, Inc.   2007 SEC $15,000
Gemisys Corporation   2002 SEC $15,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Gateway Mortgage Group, LLC   2009 AR-SEC $15,000
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
McDonald Partners LLC   2016 AR-SEC $15,000
Alexander Capital, L.P.   2019 AR-SEC $15,000
Estate Services II, Inc.   2000 AZ-SEC $15,000
Delta FX Trade   2018 AZ-SEC $15,000
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Alii Consulting   2017 CA-DFPI $15,000
Candide Group, LLC   2017 CA-DFPI $15,000
Opes Capital Group, LLC   2019 CA-DFPI $15,000
Vision Securities, Inc.   2006 CT-SEC $15,000
Casimir Capital L.P.   2009 CT-SEC $15,000
American Capital Partners, LLC   2009 CT-SEC $15,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Aegis Capital Corp.   2012 CT-SEC $15,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Delaware Financial Insurance and Investment, Inc.   2001 DE-SEC $15,000
The Rockwell Financial Group, Inc.   2003 DE-SEC $15,000
The Morgan Group   2000 FL-OFR $15,000
Morgan Carlton Financial Corp.   2000 FL-OFR $15,000
Morgan Commercial Private Investment Bankers   2000 FL-OFR $15,000
D. Dean Hooley, II & Associates   2002 FL-OFR $15,000
T.H.E. Financial Group, Ltd.   2003 FL-OFR $15,000
Brookstreet Securities Corp.   2004 FL-OFR $15,000
Meyers Associates, L.P.   2004 FL-OFR $15,000
Lee County Acceptance Corp.   2007 FL-OFR $15,000
Ephesians 6:11 LLC   2014 FL-OFR $15,000
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
C&C Capital, LLC   2010 ID-SEC $15,000
United Private Capital, Inc.   2015 IL-SEC $15,000
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.