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
Prospera Financial Services Inc.   2006 TX-SEC $5,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
Gamboa Capital Management Inc.   2007 TX-SEC $5,000
International Wealth Management Inc.   2008 TX-SEC $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
LPL Financial Corporation LPL Financial financial services 2008 TX-SEC $5,000
Dorothy of OZ LLC dba Box Office Productions III, LLC   2009 TX-SEC $5,000
Navigant Advisors LLC   2010 TX-SEC $5,000
Sarker Investments LLC   2010 TX-SEC $5,000
Warner Financial Group Inc.   2013 TX-SEC $5,000
Fuller Capital Management   2016 TX-SEC $5,000
Rubicon Investment Management & Analytics LLC   2016 TX-SEC $5,000
PTI Securities & Futures L.P.   2017 TX-SEC $5,000
Grove Capital Management Inc.   2019 TX-SEC $5,000
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
Challenger Wealth Management   2020 TX-SEC $5,000
21ST. CENTURY TECHNOLOGIES FUNDING   2001 VA-SEC $5,000
21ST. CENTURY TECHNOLOGIES LLC   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE MANAGEMENT LLC   2001 VA-SEC $5,000
BRIGHT COVE SECURITIES INC.   2001 VA-SEC $5,000
ADVANTAGE REAL ESTATE LPS   2001 VA-SEC $5,000
CORNERSTONE MINISTRIES   2007 VA-SEC $5,000
Wealth Matters, Inc.   2009 VA-SEC $5,000
TECSEC, INC.   2011 VA-SEC $5,000
URBAN BAR-B-QUE COMPANY   2014 VA-SEC $5,000
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes   2015 VA-SEC $5,000
BLUE LIGHTNING ENTERPRISES INC.   2015 VA-SEC $5,000
PAWS & REMEMBER LLC   2017 VA-SEC $5,000
AMAZING FINISH, LLC   2017 VA-SEC $5,000
BRIDGETOWN FRAGRANCES, INC.   2017 VA-SEC $5,000
SNC Capital Management Corporation d/b/a RCM Securities   2020 VA-SEC $5,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
Masters United 12 LLC et al.   2018 WA-FIN $5,000
Saves, Inc.   2015 WA-FIN $5,000
Pioneer Property Group, LLC and Queen's Court Building, LLC   2010 WA-FIN $5,000
Energy Automation Systems, Inc.   2010 WA-FIN $5,000
James F. Reitan CFP LLC   2008 WA-FIN $5,000
Wortham Oil & Gas Enterprises, LLC   2008 WA-FIN $5,000
Wortham Oil & Gas   2008 WA-FIN $5,000
WOGE/WOG Ellison Well #1 Joint Venture   2008 WA-FIN $5,000
CMHCEH, LLC   2008 WA-FIN $5,000
Chum Chum Game Company   2007 WA-FIN $5,000
Chesterfield Mortgage Investors, Inc.   2007 WA-FIN $5,000
Great Plains Financial, LLC   2007 WA-FIN $5,000
American Fiber Green Products, Inc.   2008 WA-FIN $5,000
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Pacific Coast Investment Company   2005 WA-FIN $5,000
Newcastle Escrow Corporation   2005 WA-FIN $5,000
Lilac City Closing & Escrow LLC   2004 WA-FIN $5,000
Success Concepts Enterprises, Inc. and World Business Consultants, Inc.   2003 WA-FIN $5,000
Preferred Funding, Inc.   2001 WA-FIN $5,000
Dreambuilder Investments, LLC   2019 WI-FIN $5,000
The Prudential Investment Portfolios, Inc.   2007 WI-FIN $5,000
Randomwalk Innovations, LLC   2020 SC-SEC $5,000
Bright Light Capital Advisor, Inc.   2020 CA-DFPI $5,000
Benzer Franchising, LLC   2020 CA-DFPI $5,000
Sportball Systems USA, LLC   2020 CA-DFPI $5,000
The Hansbury Group, LLC   2020 CT-BKG $5,000
Quint Wealth Management, Inc.   2020 CT-BKG $5,000
Wealth Management of Kentucky Inc.   2020 KY-FIN $5,000
Kelcas Corporation et al.   2020 KY-FIN $5,000
DMK Advisor Group, Inc.   2020 MO-SEC $5,000
DAI Securities LLC   2020 NH-BSR $5,000
AEI Net Lease Portfolio XIII DST   2020 NH-BSR $5,000
Signal Capital Management LLC   2020 WA-SEC $5,000
Tactical Wealth Management LLC   2020 KY-FIN $5,000
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
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.