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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$13,547,438,962115
UBS$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
Revelle Resources Inc.   2012 IL-SEC $50,000
Old Carco, LLC fka Chrysler, LLC   2009 IN-SEC $50,000
Rogpex, Inc.   2004 KY-FIN $50,000
Allied Energy, Inc.   2010 KY-FIN $50,000
FWG Investments LLC   2020 KY-FIN $50,000
Capital Investment Group, Inc.   2018 MA-SEC $50,000
SII Investments, Inc.   2018 MA-SEC $50,000
Joe Karsner & Associates, LLC   2008 MD-SEC $50,000
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
New Image, LLC   2010 MD-SEC $50,000
Kitchen Concepts, Inc.   2011 MD-SEC $50,000
Wells Fargo Advisors LLC Wells Fargo financial services 2012 MD-SEC $50,000
AIM Holdings I, LLC   2012 MD-SEC $50,000
LBC Real Estate Development, Inc.   2012 MD-SEC $50,000
Triune, LLC dba Baja Fresh   2012 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MD-SEC $50,000
First Management Group Investments, Inc.   2013 MD-SEC $50,000
The Borrowing Station, LLC   2013 MD-SEC $50,000
Chelsea Financial Group, LLC   2013 MD-SEC $50,000
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
CIT Investments, Ltd.   2017 ME-SEC $50,000
Saltwater Harbor Financial, LLC   2018 ME-SEC $50,000
NYLIFE Securities LLC New York Life Insurance financial services 2019 ME-SEC $50,000
Harbinger Asset Management, L.L.C.   2016 MI-SEC $50,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2020 MI-SEC $50,000
Efficient Creation Innovations, Inc. aka ECI and Broit Light   2012 MN-FIN $50,000
Kensington Capital Management, Ltd.   2014 MN-FIN $50,000
Son & Carter, Inc.   2006 MO-SEC $50,000
Surgioscopy, LLC   2019 MO-SEC $50,000
Brixon Group   2004 MS-SEC $50,000
MetLife Securities, Inc. MetLife financial services 2006 MS-SEC $50,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
Cetera Investment Services LLC   2016 MT-SEC $50,000
Concorde Investment Services, LLC   2019 NH-BSR $50,000
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
GT Advanced Technologies Inc.   2020 NH-BSR $50,000
Raglin Industries LLC et al.   2008 OK-SEC $50,000
Northwest Communications Inc.   2001 OR-FIN $50,000
National Equipment Providers LLC   2003 OR-FIN $50,000
Spa Marketing LLC   2003 OR-FIN $50,000
99 Crossings LLC   2020 OR-FIN $50,000
Lumentrades Financial Incorporated   2020 OR-FIN $50,000
Financial Triumph Associates   2014 PA-BKG $50,000
River Wealth Advisors LLC   2016 PA-BKG $50,000
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
Wesleyan Investment Foundation Inc.   2018 PA-BKG $50,000
Strategic Point Investment Advisors LLC and Progressive Financial Strategies LLC   2009 RI-FIN $50,000
7 Oaks Pharmaceutical Corp.   2014 SC-SEC $50,000
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
Chestnut Exploration Partners Inc.   2012 TX-SEC $50,000
The Investment Center Inc.   2016 TX-SEC $50,000
Great Oklahoma Oil Deal, LLP   2008 VA-SEC $50,000
EnStyle Wedding Designs International, LLC   2009 VA-SEC $50,000
PACIFIC WEST SECURITIES, INC.   2014 VA-SEC $50,000
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
Family First Advanced Estate Planning and Family First Insurance Services   2006 WA-FIN $50,000
Payday Today USA.com, Inc.   2001 WA-FIN $50,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2007 WI-FIN $50,000
Physicians Development Group, LLC and Physicians Senior Care Fund, LLC   2020 CO-SEC $50,000
USI-Tech Limited   2020 SC-SEC $50,000
PNC Capital Markets LLC PNC Financial Services financial services 2016 FINRA $50,000
SIGMA Financial Corporation   2009 FINRA $50,000
Intersecurities, Inc.   2009 FINRA $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
JMP Securities, LLC   2008 FINRA $50,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services 2004 FINRA $50,000
Fleet Securities, Inc.   2001 FINRA $50,000
Rokk3r, Inc.   2021 SEC $50,000
HQDA Elderly Life Network Corp.   2021 SEC $50,000
Asta Funding, Inc.   2021 SEC $50,000
Cetera Investment Services LLC   2021 AR-SEC $50,000
The Cavanaugh Group Inc.   2021 SEC $50,000
Tradier Brokerage Inc.   2021 SEC $50,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2021 AR-SEC $50,000
Black Hill Capital Partners Inc.   2021 CA-DFPI $50,000
Redwood Wealth Management, LLC   2021 SEC $50,000
Revere Securities, LLC   2021 SEC $50,000
Marketxt, Inc.   2005 SEC $49,965
First Allied Securities, Inc. and First Allied Advisory Services, Inc.   2019 CT-SEC $49,266
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
Windsor Asset Management   2004 MD-SEC $48,919
ZBS Group LLP   2019 SEC $48,461
Ameriprise Advisor Services Inc. Ameriprise Financial financial services 2009 RI-FIN $48,411
DH Products, LLC   2012 CO-SEC $48,250
Valor Capital Asset Management LLC   2016 TX-SEC $48,000
Fountain Capital Management, LLC   2005 AZ-CC $47,833
Infinity Fuels, Inc.   2017 AZ-CC $47,795
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
Greenleaf Companies, LLC and The Real Estate Company of Missouri   2010 MO-SEC $47,472
Carhart Capital Management, LLC   2016 FL-OFR $46,500
Ascend Capital, LLC   2003 SEC $46,258
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
LendingClub Corp. LendingClub Corp. financial services 2015 CA-DFPI $46,000
Mercury Capital   2012 SEC $45,747
AflacAssist.com, LLC   2015 MO-SEC $45,570
McLean Asset Management Corporation   2012 NH-BSR $45,300
Benchmark Capital Advisors LLC   2019 SEC $45,182
United Gold Direct, LLC   2020 CA-DFPI $45,112
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.