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 Agencysort icon Penalty Amount
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Salomon Whitney LLC   2011 CT-SEC $12,500
Spear Capital Management, Inc.   2011 CT-SEC $5,000
Cynergy Advance Services, LLC   2011 CT-SEC $100,000
Charles Morgan Securities, Inc.   2011 CT-SEC $15,000
Meyers Associates, L.P.   2011 CT-SEC $12,500
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
Air-Byrd Operations LLC   2011 CT-SEC $100,000
Air-Byrd/River Joint Venture   2011 CT-SEC $100,000
CherryHomes Joint Venture   2011 CT-SEC $100,000
MidAmerica Resources, Inc. aka MA Resources, Inc.   2011 CT-SEC $100,000
Regal Royalty Resource   2011 CT-SEC $100,000
Portfolio Timing Service dba PTS Asset Management   2011 CT-SEC $25,000
John Thomas Financial   2011 CT-SEC $20,000
Newbridge Securities Corp.   2011 CT-SEC $10,000
Southridge Investment Group LLC fka Greenfield Capital Partners LLC   2012 CT-SEC $250,000
Movies for a Better World, LLC   2012 CT-SEC $50,000
Point Stratford Development, LLC fka Hollywood East/Area 51, LLC   2012 CT-SEC $100,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2012 CT-SEC $40,000
Wadsworth Investment Co., Inc.   2012 CT-SEC $77,000
Laidlaw & Company (UK) Ltd.   2012 CT-SEC $7,500
Aegis Capital Corp.   2012 CT-SEC $15,000
IHS Herold Inc.   2012 CT-SEC $8,050
Brookville Capital Partners   2012 CT-SEC $5,000
Mullaney Management & Trust, LLC   2012 CT-SEC $10,000
Sky Watch Media, Inc.   2012 CT-SEC $50,000
Maxcomusa Group Inc.   2013 CT-SEC $50,000
Obsidian Financial Group, LLC   2013 CT-SEC $7,500
Steadfast Holdings Group, Inc. fka Beere Financial Group, Inc.   2013 CT-SEC $50,000
Connecticut Foreclosure Division Corp.   2013 CT-SEC $143,000
Stead-Fast Custom Linings, LLC   2013 CT-SEC $50,000
First Financial LLC   2013 CT-SEC $200,000
Method Films, Inc. aka Method Films, LLC   2013 CT-SEC $50,000
Mohr & Moore, LLC   2013 CT-SEC $50,000
Stilas Financial Services, S.A.   2013 CT-SEC $50,000
Accelerated Mentoring LLC fka Internet Sales Institute LLC   2013 CT-SEC $90,000
DFS Capital Management, LP and DFS Fund, Limited Partnership   2013 CT-SEC $414,000
RMV Holding Company, LLC   2013 CT-SEC $20,000
RMV Investments, LLC   2013 CT-SEC $10,000
Terra Energy Resources, Ltd.   2013 CT-SEC $100,000
New Heart LLC, Progenesis LLC and Oz III, LLC   2013 CT-SEC $10,000
PowerWater Systems, Inc.   2013 CT-SEC $225,000
PowerWater USA Ltd.   2013 CT-SEC $200,000
Hybrid Automotive Technologies, Inc.   2013 CT-SEC $50,000
Ironclad Investments, LLC   2013 CT-SEC $100,000
Northeast Development Corp.   2013 CT-SEC $50,000
Rescon Technology Corp.   2013 CT-SEC $50,000
The African Diamond Company, Inc. nka Coal Corporation   2013 CT-SEC $50,000
Speed of Thought Trading Corp.   2013 CT-SEC $50,000
Fundraising Co-Op, Inc.   2013 CT-SEC $7,500
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 CT-SEC $5,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2014 CT-SEC $53,800
Syndicated Capital, Inc.   2014 CT-SEC $10,000
P & C Capital Group LLC   2014 CT-SEC $10,000
Ulysses Partners, LLC   2014 CT-SEC $25,000
Columbus Advisory Group, Ltd.   2014 CT-SEC $5,000
Mittler & Mercaldo Investment Advisors   2015 CT-SEC $5,600
Poppin Kettle Franchising, Inc.   2015 CT-SEC $75,000
YoFresh Yogurts Franchising, Inc.   2015 CT-SEC $10,000
Meyers Associates, L.P.   2015 CT-SEC $50,000
First Connecticut Capital, LLC   2015 CT-SEC $5,000
Rafferty Capital Markets, LLC   2015 CT-SEC $16,050
Citigroup Global Markets Inc. Citigroup financial services 2015 CT-SEC $35,000
Essex Financial Services, Inc.   2015 CT-SEC $25,000
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC   2015 CT-SEC $7,500
Cooper Capital, Inc.   2015 CT-SEC $10,000
Neilsen Financial Services   2015 CT-SEC $543,000
Rockingham Capital Advisors LLC   2016 CT-SEC $5,160
Trade-PMR Inc.   2016 CT-SEC $75,000
Harbor Vista Wealth Management LLC   2016 CT-SEC $25,000
RNT Wealth Management LLC   2016 CT-SEC $100,000
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
Silver Oak Securities, Inc.   2016 CT-SEC $35,000
David Lerner Associates, Inc.   2016 CT-SEC $5,000
Meyers Associates, L.P. nka Windsor Street Capital, L.P.   2017 CT-SEC $25,000
RPM Capital Management, LLC   2017 CT-SEC $10,400
Cantone Research Inc.   2017 CT-SEC $20,000
Omni View Capital LLC   2017 CT-SEC $150,000
Columbia Funds Series Trust   2017 CT-SEC $8,500
Tyrol Group, LLC, Native American Tyrol Energy, LLC   2017 CT-SEC $100,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Evans Technology Holding Co.   2018 CT-SEC $5,000
CE Capital Limited aka CE Capital Ltd.   2018 CT-SEC $100,000
Hanley & Associates, LLC   2018 CT-SEC $5,075
Pearson and Associates, LLC   2018 CT-SEC $6,110
Empire Wine & Liquor Superstore CT, LLC   2018 CT-SEC $5,000
Moreau Investment Management Co.   2018 CT-SEC $10,000
Signal Lake General Partner LLC   2018 CT-SEC $100,000
Signal Lake Management, LLC   2018 CT-SEC $100,000
Blaine Capital, LLC   2018 CT-SEC $5,000
Southridge Capital Management LLC   2018 CT-SEC $500,000
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
AFT Logistics, LLC nka Equity One Contractors LLC   2018 CT-SEC $20,000
Endeavor Management Solutions, LLC   2018 CT-SEC $100,000
Allied Energy, Inc. fka Allied Syndications, Inc.   2018 CT-SEC $10,000
SE Ohio Shale & Oriskany Development   2018 CT-SEC $10,000
Leland Energy, Inc.   2018 CT-SEC $100,000
Leland Tennessee Holdings, Inc.   2018 CT-SEC $100,000
Opportunity Drilling & Acquisition Fund, LLP   2018 CT-SEC $100,000
Romano Brothers and Company   2018 CT-SEC $5,040
S P Consulting, LLC   2018 CT-SEC $7,500
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.