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 Yearsort icon Agency Penalty Amount
Believing in Jesus Investments, LLC   2017 AZ-SEC $270,050
Caesar Investments, LLC   2017 AZ-SEC $472,378
Catamount Strategic Advisors, LLC   2017 CA-DFPI $88,511
Macian Wealth Management, LLC   2017 CA-DFPI $34,236
Jalapenos Leadership Industries, LLC   2017 CA-DFPI $58,500
D. Stephens Management and Consulting L.L.C.   2017 CA-DFPI $6,000
Alii Consulting   2017 CA-DFPI $15,000
RG Capital Management, LLC   2017 CA-DFPI $30,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Harbor Island Wealth Management   2017 CA-DFPI $5,000
Candide Group, LLC   2017 CA-DFPI $15,000
TechnoVision Management, LLC   2017 CA-DFPI $50,000
Continuum Financial Partners, LLC   2017 CA-DFPI $5,000
Lion Equity Investment Advisors   2017 CO-SEC $300,000
Walton Financial, LLC   2017 CO-SEC $150,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
High Trust Financial and Consulting, Inc.   2017 CO-SEC $150,000
SkiHawk Capital Partners, LLC and SkiHawk Financial, Inc.   2017 CO-SEC $50,000
GRAnderson Wealth Management Group Inc.   2017 CO-SEC $35,000
Conestoga Trust   2017 CO-SEC $40,000
Meyers Associates, L.P. nka Windsor Street Capital, L.P.   2017 CT-SEC $25,000
RPM Capital Management, LLC   2017 CT-SEC $10,400
Cantone Research Inc.   2017 CT-SEC $20,000
Omni View Capital LLC   2017 CT-SEC $150,000
Columbia Funds Series Trust   2017 CT-SEC $8,500
Tyrol Group, LLC, Native American Tyrol Energy, LLC   2017 CT-SEC $100,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Target Capital Management, LLC   2017 FL-OFR $18,000
Big Spring Gold, LLC   2017 FL-OFR $75,000
Changes Worldwide, LLC   2017 FL-OFR $150,000
Investment Planning, LLC   2017 GA-SEC $5,000
Cache Private Capital Diversified Fund LLC   2017 ID-SEC $25,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Allegis Investment Advisors, LLC   2017 ID-SEC $755,246
Garden State Securities, Inc.   2017 ID-SEC $10,000
Ten X Holdings, LLC   2017 IL-SEC $110,000
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2017 IL-SEC $270,000
NYLIFE Securities, LLC New York Life Insurance financial services 2017 IN-SEC $275,000
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Blue Crab Partners, LLC   2017 IN-SEC $5,000
Corporate I Communications & Technology, Inc.   2017 IN-SEC $25,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
High Powered Promotions, LLC et al.   2017 KY-FIN $206,000
Cornerstone Benefit Advisors, LLC   2017 KY-FIN $1,405,126
Majestic Management Corp.   2017 KY-FIN $123,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
Investment Professionals, Inc. Ameriprise Financial financial services 2017 MA-SEC $100,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
RAphi Capital Management, LLC   2017 MD-SEC $430,700
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2017 MD-SEC $100,000
Everest Investment Advisors, Inc.   2017 MD-SEC $195,000
Everest Wealth Management, Inc.   2017 MD-SEC $200,000
Sensuss, Inc.   2017 MD-SEC $85,000
J.J. Richardson, LLC   2017 MD-SEC $400,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Chandy Enterprises, LLC   2017 MD-SEC $16,500
CIT Investments, Ltd.   2017 ME-SEC $50,000
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
SF Investments, Inc.   2017 ME-SEC $5,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Creative Wealth Strategies, Inc.   2017 MI-SEC $40,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
Advantage Real Estate Consultants, LLC   2017 MI-SEC $40,000
Shaar 2, LLC   2017 MI-SEC $20,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
Treasure Enterprise, LLC   2017 MI-SEC $40,000
Meadowbrook Investment Advisors, LLC   2017 MI-SEC $20,000
Genesis Fund, LLC   2017 MI-SEC $10,000
GenVest VI, LLC   2017 MI-SEC $10,000
Manaia Capital Management, Inc.   2017 MI-SEC $5,000
Legacy Planning & Associates, Inc.   2017 MI-SEC $5,000
Victory H2O Distribution, LLC   2017 MI-SEC $30,000
Life Organic Holdings, Inc.   2017 MN-FIN $5,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
First American Securities, Inc.   2017 MN-FIN $10,200
American Blast Systems, Inc.   2017 MN-FIN $5,000
Goldview Capital Management LP and Goldview Investment Group LLC   2017 MN-FIN $200,025
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
Westpark Capital, Inc.   2017 MO-SEC $18,000
Mad Baby Pictures, LLC   2017 MO-SEC $15,000
Trader's Way   2017 MO-SEC $12,000
Personal Financial Group   2017 MO-SEC $5,000
Thunderstruck Investments Limited   2017 MO-SEC $122,092
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
MarketsTheWorld Limited   2017 MO-SEC $13,600
Stafford Financial Firm   2017 MO-SEC $1,162,422
Allied Trading Group   2017 MO-SEC $118,481
Whoistrustee.com Limited dba Binaryoptionrobot.com   2017 MO-SEC $104,100
Aspen Wealth Management, Inc.   2017 MO-SEC $20,000
Pharyn Resources, Inc.   2017 MO-SEC $33,000
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
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.