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
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $20,000
Pelican Development L.L.C.   2009 ND-SEC $20,000
Landolt Securities Inc.   2014 ND-SEC $20,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
Focus Capital Wealth Management Inc.   2013 NH-BSR $20,000
Keystone Equity Group Inc.   2011 OK-SEC $20,000
Arvest Asset Management   2013 OK-SEC $20,000
R&J Financial Inc.   2017 OK-SEC $20,000
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
Leading Solutions Inc.   2002 OR-FIN $20,000
BAK Ventures, Inc.   2011 OR-FIN $20,000
Capital Guardian Inc.   2012 OR-FIN $20,000
Equity Options Inc. of Bend   2013 OR-FIN $20,000
DayTradingBuddy LLC   2014 OR-FIN $20,000
Starline Solutions, LLC   2020 OR-FIN $20,000
Private Advisor Group LLC   2017 PA-BKG $20,000
RWM Asset Management LLC   2019 PA-BKG $20,000
Klein Pavlis & Peasley Financial, Inc.   2019 PA-BKG $20,000
Morgan Keegan & Co. Inc. Raymond James Financial financial services 2010 RI-FIN $20,000
Meridian Capital Advisers, LLC   2013 SC-SEC $20,000
Brooks Communications LLC   2016 SC-SEC $20,000
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Protrader Securities Corporation   2001 TX-SEC $20,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
Butler Freeman Tally Financial Group LLC   2007 TX-SEC $20,000
IMS Securities Inc.   2012 TX-SEC $20,000
Brazos Securities Inc.   2018 TX-SEC $20,000
FRA Wealth Management LLC   2019 TX-SEC $20,000
Woodland Resources LLC et al.   2020 TX-SEC $20,000
IAC SECURITIES, INC.   2002 VA-SEC $20,000
ALPHACOM, INC.   2002 VA-SEC $20,000
L-O-T Development Wells, LLP   2008 VA-SEC $20,000
enTerra Seven, LLP   2008 VA-SEC $20,000
KAT-5-2, LLP   2008 VA-SEC $20,000
GREAT AMERICAN ADVISORS, INC.   2010 VA-SEC $20,000
Cellairis Franchise, Inc.   2010 VA-SEC $20,000
Stratus Franchising, LLC   2011 VA-SEC $20,000
ATLANTIC SUN CONTROL, INC.   2013 VA-SEC $20,000
LINCOLN FINANCIAL SECURITIES Lincoln National financial services 2018 VA-SEC $20,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
TreeFree Biomass Solutions, Inc.   2016 WA-FIN $20,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
LDS Securities, LLC   2003 WA-FIN $20,000
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
MGMC, LP   2020 MI-SEC $20,000
CBIG CCS, LLC   2020 MI-SEC $20,000
Halydean Corp.   2020 WA-SEC $20,000
Biogenic, Inc.   2020 MI-SEC $20,000
Black Box Fund   2020 MI-SEC $20,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
Olympus Securities, LLC   2010 FINRA $20,000
Pulse Trading, Inc.   2004 FINRA $20,000
Windsor Capital Advisors, Inc.   2001 FINRA $20,000
Prudential Securities Incorporated Wells Fargo financial services 2001 FINRA $20,000
Pershing Trading Company, L.P.   2001 FINRA $20,000
ING Barings LLC   2001 FINRA $20,000
CyBerBroker, Inc.   2001 FINRA $20,000
Summit Trading, Inc.   2001 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2021 SD-SEC $20,000
JG Enterprise, LLC   2019 AZ-SEC $19,772
UCI Wealth Advisors LLC   2016 ID-SEC $19,700
Cornerstone Asset Management, Inc.   2020 VA-SEC $19,500
Gary Goldberg & Co., Inc   2009 FINRA $19,500
Panda Trucking LLC   2015 ND-SEC $19,400
Hawkins Wealth Advisory LLC   2017 AZ-SEC $19,028
Captal Guardian, Inc.   2010 IL-SEC $19,000
B&B Energy of New Orleans Inc.   2017 MS-SEC $19,000
KLINE FRANCHISING, INC.   2017 VA-SEC $19,000
Aegis Capital Corp.   2001 FINRA $19,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Independent Financial Group, LLC   2020 SD-SEC $18,750
Virginia Commercial Capital Corp.   2012 IL-SEC $18,500
2946033 CANADA, Inc. dba The Mad Science Group   2013 MD-SEC $18,500
Ultimate Business Solutions, LLC   2015 MO-SEC $18,500
Renegade Investment Properties, Inc.   2017 MO-SEC $18,500
Pinnacle Plus Capital LLC   2020 ID-SEC $18,423
Target Capital Management, LLC   2017 FL-OFR $18,000
Krystal Energy Corp.   2006 MO-SEC $18,000
Genshare Acquisition, Inc.   2012 MO-SEC $18,000
Moloney Securities Co., Inc.   2016 MO-SEC $18,000
Westpark Capital, Inc.   2017 MO-SEC $18,000
Sunset Financial Services, Inc.   2007 MS-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Upstream Solutions, LLC   2015 WA-FIN $18,000
Herzog, Heine, Geduld, Inc.   2001 FINRA $18,000
The BABCO Group, LLC   2007 ID-SEC $17,877
Texas Energy Investment Solutions, inc.   2007 MO-SEC $17,831
Redbird Management Group   2011 IN-SEC $17,800
Rothschild Investment Corp.   2008 AL-SEC $17,646
Harvest Financial Corp.   2006 IL-SEC $17,600
Secured Financial Services, Inc.   2005 MD-SEC $17,500
DGF Investment Advisers, Inc.   2005 MD-SEC $17,500
Great American Investors, Inc.   2007 MO-SEC $17,500
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.