Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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 Yearsort icon Agency Penalty Amount
V Wealth Advisers, LLC   2020 MO-SEC $7,500
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MT-SEC $14,700
Mascoma Wealth Management LLC   2020 NH-BSR $7,500
DAI Securities LLC   2020 NH-BSR $5,000
LPL Financial LLC LPL Financial financial services 2020 NH-BSR $976,000
AEI Net Lease Portfolio XIII DST   2020 NH-BSR $5,000
Access Investment, LLC   2020 NH-BSR $7,500
Financial Planning Advisors LLC   2020 NJ-BOS $150,000
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Goldman Sachs Group Goldman Sachs financial services 2020 NY-DFS $150,000,000
Ameritas Investment Company LLC Ameritas Mutual Holding Company financial services 2020 PA-BKG $100,000
Blue Water Financial, LLC   2020 PA-BKG $40,000
Haddon Wealth Management LLC   2020 PA-BKG $25,000
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 SC-SEC $28,007
Winston Reed Investments LLC   2020 SEC $255,850
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
Securities America Advisors, Inc.   2020 SEC $603,776
Summit Financial Group, Inc.   2020 SEC $1,206,882
Capitol Securities Management, Inc.   2020 SEC $203,414
Tradenet Capital Markets Ltd.   2020 SEC $130,000
EDG Management Company, LLC   2020 SEC $1,026,642
Kik Interactive Inc.   2020 SEC $5,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2020 SEC $5,000,000
Great Plains Trust Company, Inc.   2020 SEC $300,000
Transamerica Asset Management, Inc. Aegon financial services 2020 SEC $5,946,782
BGC Partners, Inc. BGC Partners financial services 2020 SEC $1,400,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.   2020 SEC $250,000
Manitex International, Inc. et al.   2020 SEC $485,000
Kroll Bond Rating Agency Inc.   2020 SEC $2,010,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $35,000,000
Fiat Chrysler Automobiles N.V. Stellantis motor vehicles 2020 SEC $9,500,000
Fulton Financial Corporation Fulton Financial financial services 2020 SEC $1,500,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Hancock Whitney Investment Services, Inc.   2020 SEC $2,337,792
Funding the Gap, LLC   2020 SEC $30,000
SoluTech, Inc.   2020 SEC $25,000
Precigen, Inc. Precigen agribusiness 2020 SEC $2,500,000
Finser International Corporation   2020 SEC $70,000
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
Morgan Wilshire Securities, Inc.   2020 SEC $179,017
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
Palmer Square Capital Management LLC   2020 SEC $450,000
RCI Hospitality Holdings, Inc.   2020 SEC $400,000
Liberty Roe Capital LLC   2020 VA-SEC $8,000
Blue Gold co LC   2020 WA-SEC $11,250
Unikrn Inc.   2020 WA-SEC $310,000
Signal Capital Management LLC   2020 WA-SEC $5,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Performance Arbitrage Company, Inc. et al.   2020 AZ-SEC $653,191
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C.   2020 AZ-SEC $60,000
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
Priority Wealth Advisors, Inc.   2020 CA-DFPI $10,000
Doctors Associates LLC dba Subway   2020 CA-DFPI $410,000
Neighborhood Networks Publishing, Inc.   2020 CA-DFPI $10,000
Southwest Services, L.L.C.   2020 CFTC $740,968
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
Financial Vision Advisory Services, LLC   2020 CT-BKG $5,375
American Alternative Investments, LLC   2020 ID-SEC $5,250
Tactical Wealth Management LLC   2020 KY-FIN $5,000
Biogenic, Inc.   2020 MI-SEC $20,000
Capsource, Inc.   2020 MI-SEC $110,000
Black Box Fund   2020 MI-SEC $20,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Environ-Chem Inc.   2020 MN-FIN $5,067
Beacon Capital Distributors, Inc.   2020 MO-SEC $6,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 NH-BSR $26,250,000
Cantone Research, Inc.   2020 NJ-BOS $10,000
First Standard Financial Company, LLC   2020 NJ-BOS $75,000
Practical Wealth Advisors, LLC   2020 PA-BKG $25,000
Secure Money Advisors   2020 PA-BKG $200,000
Gordon Fed Financial   2020 PA-BKG $6,000
Gerring Capital Partners, LLC   2020 PA-BKG $40,000
OTR, Inc.   2020 SEC $10,000
Genesis E&P, Inc.   2020 SEC $192,768
Tierion, Inc.   2020 SEC $250,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
First Midstate Inc.   2020 SEC $175,000
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
Virtu ITG Canada Corp.   2020 SEC $200,000
Cormark Securities Inc.   2020 SEC $800,000
ShipChain, Inc.   2020 SEC $2,050,000
India Globalization Capital, Inc.   2020 SEC $175,000
Robinhood Financial LLC   2020 SEC $65,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Belden Inc. Belden industrial equipment 2020 SEC $650,000
ICE Data Pricing & Reference Data LLC   2020 SEC $8,000,000
BlueCrest Capital Management Limited   2020 SEC $170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc.   2020 SEC $1,000,000
Applied BioSciences Corp.   2020 SEC $25,000
Bancwest Investment Services, Inc.   2020 SEC $406,432
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
S.G. Long & Company   2020 TX-SEC $15,000
Ironwood Wealth Management, LLC   2020 TX-SEC $15,442
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
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.