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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 Agencysort icon Penalty Amount
The Social Equity Group, Inc.   2004 CA-DBO $9,000
Leedha, Inc. dba Flintridge Asset Management Co.   2005 CA-DBO $55,056
Shemano Capital Management   2005 CA-DBO $54,250
First Command Financial Planning, Inc.   2005 CA-DBO $470,959
Derivium Capital, LLC   2006 CA-DBO $750,000
Whitcraft Capital Management, Inc.   2006 CA-DBO $45,000
National Investment Consultants, Inc. and Pacific Best Group Ltd.   2006 CA-DBO $2,021,500
Capstone Investments   2006 CA-DBO $50,000
Bancroft Ventures Ltd.   2006 CA-DBO $14,300,000
Graybar Electric Company, Inc. Graybar Electric wholesalers 2006 CA-DBO $45,000
Benchmark Financial Services, Inc.   2007 CA-DBO $100,000
TransCoastal Partners, LLC   2007 CA-DBO $25,000
Senior Benefit Advisors, Inc.   2008 CA-DBO $15,000
Monterey Bay Securities, Inc.   2008 CA-DBO $300,231
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DBO $25,000
Cogar Financial Services, Inc.   2008 CA-DBO $1,000,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DBO $50,000
Super Absorbent Co., Synchronized Funding, LLC   2010 CA-DBO $42,650,000
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc.   2010 CA-DBO $11,780,076
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc.   2011 CA-DBO $2,840,868
Leland Energy, Inc. et al.   2011 CA-DBO $1,417,477
Big Sky Motion Pictures, L.L.C. et al.   2011 CA-DBO $185,000
Visionary Group Holdings, Inc.   2011 CA-DBO $1,285,750
Santa Rita Partners, Inc.   2011 CA-DBO $33,846
Alpine Pictures, Inc.   2011 CA-DBO $100,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC   2011 CA-DBO $150,000
Rome Finance Co. (GA), LLC   2011 CA-DBO $250,000
Channel Investments et al.   2011 CA-DBO $165,000
Technology Communication Management, L.L.C. et al.   2012 CA-DBO $1,553,235
SmartWear Technologies, Inc.   2012 CA-DBO $21,420,639
Applied Digital Technologies, Inc.   2012 CA-DBO $8,000,000
Vericorp, Inc.   2012 CA-DBO $8,200,000
Pursol Solar System, Inc.   2012 CA-DBO $2,905,201
CanAm Capital Corp. et al.   2012 CA-DBO $17,860,000
Alpha Capital Partners, LLC   2012 CA-DBO $11,000
Walker Financial Advisors, Inc.   2013 CA-DBO $27,600
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DBO $10,000
Hayes and Associates Accountancy Corp.   2013 CA-DBO $10,000
Aztec Capital, LLC   2013 CA-DBO $10,125
Lighthouse Real Estate Consulting, LLC et al.   2013 CA-DBO $45,000
Artience Capital Management, LLC   2013 CA-DBO $10,000
Rama Capital Partners, LLC   2013 CA-DBO $35,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 CA-DBO $33,520
C.M.A.C International, Inc.   2013 CA-DBO $195,993
Highland Capital Group, Inc.   2013 CA-DBO $10,000
Pentultimate Associates, LLC and Family Values Financial Services   2014 CA-DBO $37,000
Gunderson Capital Management, Inc.   2014 CA-DBO $65,000
Protege Financial & Insurance Service, Inc. et al.   2014 CA-DBO $38,200,000
Darel Baer Investment Advisory LLC   2014 CA-DBO $13,500
Stirling Capital Management   2014 CA-DBO $6,500
TAK Consulting LLC   2014 CA-DBO $37,905
Synergy Oil, LLC   2014 CA-DBO $20,400,047
CCM Management Group, LLC   2014 CA-DBO $10,500
Simpson Capital Management, Inc.   2014 CA-DBO $5,000
The Social Equity Group, Inc.   2014 CA-DBO $35,000
Milestone Financial, LLC and Bear Bruin Ventures, Inc.   2014 CA-DBO $127,000
Berry Resources, Inc. et al.   2014 CA-DBO $26,700
CWS Capital Partners, LLC   2015 CA-DBO $34,140
Official Payments Corp.   2015 CA-DBO $185,000
Ekholm Wealth Management   2015 CA-DBO $23,260
WCM Global Wealth, LLC   2015 CA-DBO $5,000
Global Victory Capital Investment Group and Phase 7 Media Group, Inc.   2015 CA-DBO $23,000
LendingClub Corp. LendingClub Corp. financial services 2015 CA-DBO $46,000
Renaissance Management, LLC et al.   2016 CA-DBO $20,275,000
Bird Rock Management, LLC et al.   2016 CA-DBO $45,000
Bellingham Investment Management   2016 CA-DBO $64,120
Beryl Capital Management, LLC   2016 CA-DBO $45,000
Rama Capital Partners, LLC   2016 CA-DBO $10,000
Catamount Strategic Advisors, LLC   2017 CA-DBO $88,511
Macian Wealth Management, LLC   2017 CA-DBO $34,236
Jalapenos Leadership Industries, LLC   2017 CA-DBO $58,500
D. Stephens Management and Consulting L.L.C.   2017 CA-DBO $6,000
Alii Consulting   2017 CA-DBO $15,000
RG Capital Management, LLC   2017 CA-DBO $30,000
Defensive Portfolio Management Corp.   2017 CA-DBO $10,000
Harbor Island Wealth Management   2017 CA-DBO $5,000
Candide Group, LLC   2017 CA-DBO $15,000
TechnoVision Management, LLC   2017 CA-DBO $50,000
Continuum Financial Partners, LLC   2017 CA-DBO $5,000
JMR Capital Management, Inc.   2018 CA-DBO $20,000
Buttonwood Tree Management, LLC   2018 CA-DBO $50,223
Tiburon Research Group, Inc.   2018 CA-DBO $5,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 CA-DBO $115,000
Mirae Asset Wealth Management (USA) Inc.   2018 CA-DBO $40,000
Crawford Capital, LLC   2018 CA-DBO $10,000
Sacramento Natural Foods Cooperative, Inc.   2019 CA-DBO $6,000
Highland Capital Group, Inc.   2019 CA-DBO $270,000
Opes Capital Group, LLC   2019 CA-DBO $15,000
Francis Capital Management, LLC   2019 CA-DBO $10,000
Pyramid Screening Technology, Inc.   2019 CA-DBO $38,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DBO $52,047
Piara Pizza, LLC   2020 CA-DBO $35,000
Trademark INT PTT AB   2020 CA-DBO $7,500
Amada Franchise, Inc.   2020 CA-DBO $10,000
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
Morgan Stanley Morgan Stanley financial services 2015 CFTC $300,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $280,000
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
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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.