Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
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
ProEquities, Inc. Dai-ichi Life financial services 2009 FINRA $25,000
National Securities Corporation   2009 FINRA $25,000
Dalton Kent Securities Group, Inc.   2001 FINRA $25,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2001 FINRA $25,000
Lutheran Brotherhood Securities Corp.   2001 FINRA $25,000
1-800DAYTRADE.COM, Inc.   2000 FINRA $25,000
The Short Interest, LLC and The Short Manager, LLC   2021 OR-FIN $25,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
Fortem Resources, Inc.   2021 SEC $25,000
TruTankless, Inc.   2021 SEC $25,000
ShiftPixy, Inc.   2021 SEC $25,000
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
Igen Networks Corp.   2021 SEC $25,000
Emperor Investments, Inc.   2021 SEC $25,000
REB Financial   2013 NH-BSR $24,900
Pro Trader Institute, LLC and National Market Enterprises, Inc.   2016 MO-SEC $24,869
Research Investment Group, Inc.   2004 SEC $24,721
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Section 8 Creations, Inc.   2014 MO-SEC $24,430
Amvest Securities, Inc.   2006 IL-SEC $24,400
Towle Farm Mortgage Investors, LLC   2019 NH-BSR $24,350
Legacy Prosperity Partners, LLC   2018 WI-FIN $24,196
Aggressive Advertising Associates, LLC   2012 ME-SEC $24,085
Matrix Petroleum, Inc.   2006 ME-SEC $24,000
Inland National Securities Inc.   2013 ND-SEC $24,000
DCS Resources Inc.   2005 OK-SEC $24,000
CTOption   2020 WI-FIN $24,000
Paseo Biofuels, LLC   2006 MO-SEC $23,692
Arizona Metro Direct Information Services Inc.   2001 OR-FIN $23,500
CRITTER CONTROL INC. Rollins Inc. miscellaneous services 2018 VA-SEC $23,500
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Ekholm Wealth Management   2015 CA-DFPI $23,260
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
Save.Win LLC   2020 TN-SEC $23,210
Global Victory Capital Investment Group and Phase 7 Media Group, Inc.   2015 CA-DFPI $23,000
Seascape Management Co., LLC   2007 ID-SEC $23,000
Quad City Investment Advisors, LLC   2011 IL-SEC $23,000
Rise, Inc.   2004 KY-FIN $23,000
Redwood Trust   2007 OR-FIN $23,000
Bountiful LLC   2007 OR-FIN $23,000
MR. OIL SAVER, LLC   2014 VA-SEC $23,000
Armadillo Energy, Inc.   2014 WA-FIN $23,000
Baltic Fund   2018 MO-SEC $22,760
Intermarc Marketing and Cashflows   2002 AZ-SEC $22,750
Thrive Learning Institute   2009 IL-SEC $22,734
Professional Asset Management Inc.   2004 TN-SEC $22,550
QA3 Financial Corporation   2010 NE-DBF $22,500
Cruden Bay Capital Partners GP, LP   2008 TX-SEC $22,500
FIRST GEORGETOWN SECURITIES INC.   2007 VA-SEC $22,500
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority   2015 VA-SEC $22,500
People's Securities Inc.   2017 VT-FIN $22,500
T&H Northwest, LLC   2012 WA-FIN $22,500
Dreos Financial Services   2004 AZ-SEC $22,425
Hologram USA Networks Inc.   2020 SEC $22,419
BRAZELTON LOAN PARTNERS   2013 VA-SEC $22,168
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
USA Tax & Insurance Services, Inc.   2012 IL-SEC $22,100
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
ELITE SPORTS ENTERPRISES, INC.   2015 VA-SEC $22,000
EXPANSION INDUSTRIES, LLC   2017 VA-SEC $22,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
Capital Planning Alliance, Inc.   2010 IL-SEC $21,701
Basic Investors Inc.   2008 CT-SEC $21,500
Eagle Strategies LLC   2011 IL-SEC $21,500
Couch Oil & Gas, Inc.   2016 WA-FIN $21,500
I. P. Holding, L.L.C.   2010 MO-SEC $21,470
SF Investments Inc.   2005 TN-SEC $21,325
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
Great Nation Investment Corp.   2008 AR-SEC $21,112
Sunset Financial Services, Inc.   2002 FL-OFR $21,000
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
REGAL NAILS, LLC   2007 VA-SEC $21,000
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
Moe Investment Management, LLC   2015 WA-FIN $21,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Brookstreet Securities Corp.   2007 MO-SEC $20,950
Corporate Architects, Inc.   2004 AZ-SEC $20,925
PureInvestor.com, Inc. and PIPS Inc. and PIC Trust Ltd.   2005 MO-SEC $20,800
Prudential Investments, LLC   2009 MD-SEC $20,712
Gibraltar Precious Metals Corp.   2011 OK-SEC $20,573
First Command Advisory Services, Inc.   2021 VA-SEC $20,500
Safe Harbour LLC   2019 CT-SEC $20,450
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
Hold Brothers Online Investment Services LLC   2010 RI-FIN $20,300
AllianceBernstein L.P. Equitable Holdings financial services 2013 CO-SEC $20,232
McMahan Securities Co. L.P.   2010 CT-SEC $20,130
Sand Hill Exchange   2015 SEC $20,000
Greater Wenatchee Regional Events Center Public Facilities District   2013 SEC $20,000
Nexgen Software Systems, Inc.   2006 CFTC $20,000
United Energy, Inc.   2004 CFTC $20,000
Olam International Limited Olam International agribusiness 2004 CFTC $20,000
EquityAlert.com, Inc.   2000 SEC $20,000
JW Charles Financial Services, Inc.   2000 SEC $20,000
New Concepts, L.L.C.   2000 SEC $20,000
Delaney Equity Group LLC   2016 SEC $20,000
Mitsubishi UFJ Securities (USA), Inc. Mitsubishi Group diversified 2016 SEC $20,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 SEC $20,000
EM Capital Management, LLC?   2012 SEC $20,000
Asset Advisors, LLC   2011 SEC $20,000
LACE Financial Corp.   2010 SEC $20,000
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.