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
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
Romano Brothers and Company   2018 CT-SEC $5,040
Church of God Foundation Inc.   2012 TN-SEC $5,050
Hanley & Associates, LLC   2018 CT-SEC $5,075
Wireless Worldwide Connections, LLC, IX   2006 MN-FIN $5,130
Rockingham Capital Advisors LLC   2016 CT-SEC $5,160
Shields Capital Corporation   2010 NE-DBF $5,180
Advisors Management Group, Inc.   2005 IL-SEC $5,200
Divine Capital Markets, LLC   2006 AL-SEC $5,241
Western Growers Financial Services, Inc.   2006 IL-SEC $5,250
Gant Private Financial Management   2015 PA-BKG $5,296
Patapsco Securities, Inc. dba Chapin Davis   2008 AL-SEC $5,377
DREAM DINNERS, INC.   2010 VA-SEC $5,400
Green Forest Investments and Development Company, LLC   2009 MO-SEC $5,460
Paez Real Estate Funding   2006 IL-SEC $5,462
Emerson Capital Corp.   2014 IL-SEC $5,500
Anabaptist Financial   2019 KY-FIN $5,500
Broadview Asset Management, LLC   2007 MO-SEC $5,500
Legacy Financial Assurance Group, Inc.   2010 MO-SEC $5,500
Tag and Tackle Outfitters, LLC   2013 MO-SEC $5,500
Successful Resource Management, Ltd.   2015 MO-SEC $5,500
Venulum Ltd.   2013 SC-SEC $5,500
Mackrow Asset Management Group   2018 SC-SEC $5,500
Cuso Equities Inc.   2003 TN-SEC $5,500
BASIN OIL & GAS CORPORATION   2002 VA-SEC $5,500
NATIONAL TENANT NETWORK, INC.   2006 VA-SEC $5,500
Pacific Watercraft Group, Inc.   2018 WA-FIN $5,500
Newbury Street Capital Limited Partnership   2011 DC-DISB $5,590
Mittler & Mercaldo Investment Advisors   2015 CT-SEC $5,600
Boardwalk Mortgage Group, LLC   2008 AR-SEC $5,631
Petro-America Producing Oil and Gas Wells, Inc.   2006 MO-SEC $5,652
Edelman Financial Services LLC   2006 IL-SEC $5,700
Used Apple Store   2016 NH-BSR $5,713
First Financial Tax Group   2018 ID-SEC $5,750
Samson Energy Group, LLC   2015 WA-FIN $5,750
Profitable Investments, Inc.   2005 MD-SEC $5,795
Meeting Street Brokerage, LLC   2006 CT-SEC $5,800
Quality Financial Concepts   2003 TN-SEC $5,800
Newbury Street Capital   2011 IL-SEC $5,825
Evolve Securities, Inc.   2010 IL-SEC $5,860
Maryland Capital Advisors, Inc.   2005 MD-SEC $5,930
Rhino Linings Corp.   2020 WA-FIN $5,937
Financial Solutions & Associates, Inc.   2008 MO-SEC $5,954
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-DBO $6,000
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DBO $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
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
Great Circle Financial   2013 OR-FIN $6,000
Faith Based Investor LLC   2011 SC-SEC $6,000
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Miller Equity Capital Advisors   2007 TX-SEC $6,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
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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.