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
Investors Capital Corp.   2016 PA-BKG $7,500
Vasari Energy Inc.   2017 PA-BKG $7,500
Great Nation Financial Corporation   2012 SC-SEC $7,500
STG Investors LLC   2015 SC-SEC $7,500
Terra Nova Trading LLC   2000 TN-SEC $7,500
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
Select Asset Management LLC   2008 TX-SEC $7,500
Global Asset Management Group Inc.   2019 TX-SEC $7,500
MIDATLANTIC IRA, LLC   2014 VA-SEC $7,500
Megadance USA Corp   2017 VA-SEC $7,500
WINGS TO GO, INC.   2018 VA-SEC $7,500
Harvest Financial Group, LLC   2019 VA-SEC $7,500
Slagel Investment Management   2019 VA-SEC $7,500
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC   2013 WA-FIN $7,500
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
Full_Tilton Ventures, LLC   2020 WA-SEC $7,500
V Wealth Advisers, LLC   2020 MO-SEC $7,500
Mascoma Wealth Management LLC   2020 NH-BSR $7,500
Access Investment, LLC   2020 NH-BSR $7,500
Fiduciary Investment Funds, LLC   2021 SD-SEC $7,500
Fiduciary Investment Funds, LLC   2021 ND-SEC $7,500
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Financial Planning Center, LLP   2021 TN-SEC $7,500
Newbridge Securities Corp.   2016 KY-FIN $7,476
Mackrow Asset Management Group and Runnstarr Asset Management Group   2018 MO-SEC $7,372
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
NETTALON SECURITY SYSTEMS INC   2009 VA-SEC $7,200
Newman Energy Corp.   2008 AL-SEC $7,000
Bluepac Management LLC   2012 AL-SEC $7,000
Lewis & Clark Outdoors, Inc.   2011 AR-SEC $7,000
NSM Securities, Inc.   2013 AR-SEC $7,000
Annett & Associates   2020 CO-SEC $7,000
Wynn Investments LLC   2020 FL-OFR $7,000
Littlefield Asset Management, Inc.   2013 GA-SEC $7,000
JT Financial Advisers, LLC   2009 IL-SEC $7,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
Ogan Financial Group, Inc. dba True Wealth Management   2015 MD-SEC $7,000
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
First Montauk Securities Corporation   2002 ND-SEC $7,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
INVESTOLOGY, INC.   2009 VA-SEC $7,000
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
911 RESTORATION FRANCHISE, INC   2015 VA-SEC $7,000
Moonlighting, Inc.   2019 VA-SEC $7,000
My Choice Hair, LLC   2020 VA-SEC $7,000
Tradeology.com, Inc.   2010 WA-FIN $7,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
First Midwest Securities, Inc.   2009 FINRA $7,000
NobelTrading.com   2010 MT-SEC $6,943
Caldwell Sutter Capital Inc.   2020 ME-SEC $6,936
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Modern Investments LLC   2012 TN-SEC $6,890
Financial America Securities, Inc.   2013 MT-SEC $6,769
Western Realty Investments LLC   2014 NH-BSR $6,750
Monitor Capital, LLC   2020 CT-SEC $6,720
Peters Financial Planning Corp.   2009 MD-SEC $6,700
Kinetics Mutual Funds Inc.   2002 NE-DBF $6,547
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
RSC Adventures, LLC   2013 AZ-SEC $6,500
Stirling Capital Management   2014 CA-DFPI $6,500
Cambridge Investment Research, Inc.   2012 MS-SEC $6,500
R.M. Neilio & Associates Fiscal Advisors   2015 NH-BSR $6,500
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
EJZ Investments, LLC   2014 WA-FIN $6,500
Ra Ghala Corporation, AuJeune Corporation   2013 WA-FIN $6,500
Statewide Escrow   2003 WA-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Vlad Investments, LLC   2011 WA-FIN $6,350
JRS Investments and Wealth Preservation, LLC   2015 WA-FIN $6,346
Research Capital, LLC   2003 SEC $6,337
Northwest Financial Advisors, Inc.   2015 AK-DBS $6,250
Questar Capital Corp.   2009 KY-FIN $6,250
Herzog Financial Group, LLC   2019 IL-SEC $6,150
Pearson and Associates, LLC   2018 CT-SEC $6,110
InvestIN Securities Inc.   2004 TN-SEC $6,094
Tropical Racing, Inc.   2019 CO-SEC $6,049
Interactive Brokers, LLC Interactive Brokers Group financial services 2013 AR-SEC $6,000
Guardian Wealth Management, LLC   2018 AZ-SEC $6,000
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DFPI $6,000
Wright Direction.com, LLC   2013 FL-OFR $6,000
Broadreach Capital, LLC   2016 FL-OFR $6,000
Perrin, Holden and Davenport Capital Corp.   2010 IN-SEC $6,000
Legacy Outdoors, Inc.   2016 IN-SEC $6,000
James L. Paris Financial Services, Inc.   2003 ME-SEC $6,000
Woso Energy Corporation   2006 ME-SEC $6,000
Goeken Group Corp.   2018 MI-SEC $6,000
First Securities USA, Inc.   2000 MN-FIN $6,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
S3, Inc.   2008 MN-FIN $6,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Cooper Financial Solutions, LLC   2014 MO-SEC $6,000
Heartland Capital Advisors, L.C.   2016 MO-SEC $6,000
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
Industrial Realty Development, LLC   2017 MO-SEC $6,000
Capital-E Advisors, LLC   2019 MO-SEC $6,000
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.