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
Cambridge Adult Day Center Washington, LLC et al.   2017 MO-SEC $1,617,144
Cristol Enterprises, LLC and Cristea Holdings, LLC   2017 MO-SEC $1,115,802
Renegade Investment Properties, Inc.   2017 MO-SEC $18,500
ABM Management, Inc. et al.   2017 MO-SEC $2,605,226
Investment Midwest LLC   2017 MO-SEC $836,936
Flash Forward Publications LLC   2017 MO-SEC $69,412
Assemblies of God Loan Fund   2017 MO-SEC $10,000
Industrial Realty Development, LLC   2017 MO-SEC $6,000
WFB Management Group, LLC   2017 MO-SEC $150,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
Halen Capital   2017 MT-SEC $5,000
Universal Stock Transfer, Ltd.   2017 MT-SEC $56,852
Joseph Stone Capital, LLC   2017 MT-SEC $30,000
Elite Business Strategies   2017 MT-SEC $82,200
Questar Capital Corporation   2017 ND-SEC $150,000
ABC Financial Planning   2017 NH-BSR $15,000
Legend Securities, Inc   2017 NH-BSR $167,950
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
Richard A. Norkun & Associates, LLC   2017 NH-BSR $5,000
Ceros Financial Services, Inc.   2017 NH-BSR $400,000
Alternative Asset Management Securities, LLC   2017 NH-BSR $5,000
Cantone Research, Inc. and Cantone Office Center, LLC   2017 NJ-BOS $2,100,000
Roran Enterprises   2017 NM-SEC $11,000
ACCA Enterprises LLC   2017 NM-SEC $10,000
R&J Financial Inc.   2017 OK-SEC $20,000
Service Team Inc. and Hallmark Venture Group Inc.   2017 OK-SEC $132,000
National Brokers of America Inc.   2017 OR-FIN $101,400
Cetera Advisors LLC   2017 OR-FIN $35,000
Cannacea LLC   2017 OR-FIN $40,000
Inland Pacific Energy Center LLC   2017 OR-FIN $35,000
One World Energy Advisors, LLC   2017 OR-FIN $30,000
Wall Private Wealth LLC   2017 PA-BKG $10,000
Iron Will Advisory Group   2017 PA-BKG $10,000
Elish & Elish Inc.   2017 PA-BKG $5,000
Woodbridge Structured Funding LLC   2017 PA-BKG $30,000
Private Advisor Group LLC   2017 PA-BKG $20,000
S.F. Ehrlich Associates Inc.   2017 PA-BKG $85,000
Newbridge Securities Corporation   2017 PA-BKG $499,000
Vasari Energy Inc.   2017 PA-BKG $7,500
A. Neff Associates   2017 PA-BKG $5,000
GJO Financial   2017 PA-BKG $5,000
Brandywine Financial Group Inc.   2017 PA-BKG $34,500
Stonehouse Asset Management Inc.   2017 PA-BKG $50,000
Explore Financial Group   2017 PA-BKG $75,000
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Raymond James Financial Services Inc. Raymond James Financial financial services 2017 PA-BKG $125,000
Conestoga Trust   2017 SC-SEC $30,000
Dunes Securities Corporation   2017 SC-SEC $12,000
SagePoint Financial Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SC-SEC $40,000
KPM Financial LLC   2017 SC-SEC $10,000
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Beasley & Company   2017 TN-SEC $5,000
Fieldstone Financial Partners LLC   2017 TN-SEC $5,000
Wealth Investors LLC   2017 TN-SEC $5,000
PTI Securities & Futures L.P.   2017 TX-SEC $5,000
Provident Capital Management Inc.   2017 TX-SEC $8,000
Megadance USA Corp   2017 VA-SEC $7,500
PAWS & REMEMBER LLC   2017 VA-SEC $5,000
AMAZING FINISH, LLC   2017 VA-SEC $5,000
EXPANSION INDUSTRIES, LLC   2017 VA-SEC $22,000
MAXIMIZED LIVING HEALTH CENTERS LLC   2017 VA-SEC $35,000
KLINE FRANCHISING, INC.   2017 VA-SEC $19,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2017 VA-SEC $60,000
Montessori School Franchising, LLC   2017 VA-SEC $15,000
BRIDGETOWN FRAGRANCES, INC.   2017 VA-SEC $5,000
Sugar Shack Donuts, LLC   2017 VA-SEC $8,000
People's Securities Inc.   2017 VT-FIN $22,500
Reign Capital Management, LLC   2017 WA-FIN $10,000
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
Oracle Stone Ltd.   2017 WA-FIN $32,000
InvestingCI, LLC   2017 WA-FIN $12,500
Northwest Crest, LLC and NW Crest Capital, LLC   2017 WA-FIN $10,000
Creative Money LLC   2017 WA-FIN $15,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $11,500,000
J.P. Morgan Securities JPMorgan Chase financial services 2017 FINRA $2,800,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2017 FINRA $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2017 FINRA $1,400,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2017 FINRA $1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2017 FINRA $3,400,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 FINRA $13,030,000
C.L. King & Associates, Inc.   2017 FINRA $750,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2017 FINRA $2,500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
Interactive Brokers LLC Interactive Brokers Group financial services 2017 FINRA $450,000
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Credit Karma, Inc.   2018 SEC $160,000
Valor Capital Asset Management, LLC   2018 SEC $715,871
Financial Fiduciaries, LLC   2018 SEC $40,000
Equitystar Capital Management, LLC   2018 SEC $2,890,518
Dynamic Intelligence, Inc.   2018 SEC $228,552
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Americafirst Capital Management, LLC   2018 SEC $50,000
Gemini Fund Services, LLC   2018 SEC $400,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
LKL Investment Counsel LLC   2018 SEC $100,000
AMP Global Clearing LLC   2018 CFTC $100,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
UBS AG UBS financial services 2018 CFTC $15,000,000
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.