Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Bison Capital Inc.   2001 ND-SEC $5,000
BrokerageAmerica Inc.   2001 ND-SEC $5,000
MDVIP Inc.   2003 ND-SEC $5,000
CGF Securities LLC   2003 ND-SEC $5,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
Third Ridge Capital LP   2005 ND-SEC $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2002 NE-DBF $5,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 NE-DBF $5,000
III to I Emerging Market Partners Real Estate Investment Fund I, LP   2013 NH-BSR $5,000
III to I Maritime Partners Cayman I, L.P.   2013 NH-BSR $5,000
ACL Alternative Fund Limited   2013 NH-BSR $5,000
Johnston Capital Partners Fund I L.P.   2013 NH-BSR $5,000
Halliday Financial   2015 NH-BSR $5,000
Profile Club Inc.   2015 NH-BSR $5,000
Blackbook Capital, LLC   2016 NH-BSR $5,000
Hanover Consumer Cooperative Society, Inc.   2016 NH-BSR $5,000
Richard A. Norkun & Associates, LLC   2017 NH-BSR $5,000
Alternative Asset Management Securities, LLC   2017 NH-BSR $5,000
Windsor Street Capital, LP   2018 NH-BSR $5,000
Renaissance Institutional Management   2018 NH-BSR $5,000
Alight Financial Solutions, LLC   2019 NH-BSR $5,000
White Birch Brewing LLC   2020 NH-BSR $5,000
T.S. Phillips Investment Inc.   2010 OK-SEC $5,000
RAF Operating LLC   2013 OK-SEC $5,000
Pentecost Capital Management Inc.   2015 OK-SEC $5,000
E.J. Sterling LLC   2015 OK-SEC $5,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
Laser Vision Technologies Inc.   2000 OR-FIN $5,000
Prosper Trust   2000 OR-FIN $5,000
Energy Group International Inc.   2001 OR-FIN $5,000
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
First Liberty Financial   2005 OR-FIN $5,000
Gigapix Studios Inc.   2008 OR-FIN $5,000
Treasure Heart Financial Counseling   2011 OR-FIN $5,000
Cutler Investment Counsel, LLC   2011 OR-FIN $5,000
Eljay Investment Company   2012 OR-FIN $5,000
Castle Advisers, LLC   2012 OR-FIN $5,000
Freeman Capital Management, LLC   2012 OR-FIN $5,000
Lincoln Highlands Limited Partnership   2012 OR-FIN $5,000
Catalyst Financial Resources, LLC   2013 OR-FIN $5,000
Avalon Investment & Securities Group, Inc.   2013 OR-FIN $5,000
Smith Rock Race Group, LLC   2014 OR-FIN $5,000
Thorne Trading & Investment Management   2014 OR-FIN $5,000
Business Development Corporation of America   2016 OR-FIN $5,000
CW Group LLC   2019 OR-FIN $5,000
McGervey Wealth Management LLC   2013 PA-BKG $5,000
Bryan Funding Inc.   2016 PA-BKG $5,000
Cobble Creek Group LLC   2016 PA-BKG $5,000
Elish & Elish Inc.   2017 PA-BKG $5,000
A. Neff Associates   2017 PA-BKG $5,000
GJO Financial   2017 PA-BKG $5,000
Apollo18 LLC   2018 PA-BKG $5,000
Iron Valley Wealth Management LLC   2019 PA-BKG $5,000
RCM Securities a/k/a SNC Capital Management Corporation   2019 PA-BKG $5,000
Lincoln Financial Advisors Corp. Lincoln National financial services 2007 RI-FIN $5,000
Hannah Street Consulting Inc.   2008 RI-FIN $5,000
Decision Sciences Corporation   2009 SC-SEC $5,000
Sanco Services Inc.   2011 SC-SEC $5,000
Cannon Operating Company LLC   2015 SC-SEC $5,000
Renaissance Laser LP   2015 SC-SEC $5,000
Cashbox Magazine Inc.   2015 SC-SEC $5,000
Komak Investments LLC   2015 SC-SEC $5,000
Clem Investments   2018 SD-INS $5,000
Quadra Pay Inc. and Quadra Pay Land LLC   2009 TN-SEC $5,000
Keblo Energy LLC   2013 TN-SEC $5,000
The Home Email Business Corp.   2016 TN-SEC $5,000
Beasley & Company   2017 TN-SEC $5,000
Fieldstone Financial Partners LLC   2017 TN-SEC $5,000
Wealth Investors LLC   2017 TN-SEC $5,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Woodlands Securities Corporation   2001 TX-SEC $5,000
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Laradorbecker Securities Corporation   2003 TX-SEC $5,000
Premier Group Inc.   2003 TX-SEC $5,000
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
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
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(*): 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.