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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Miller Johnson Steichen Kinnard, Inc.   2005 DE-SEC $5,000
Condor and Eagle, Inc., Contact Generation, Inc. and TCI   2000 FL-OFR $5,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
Trinity Investment Club Ltd.   2001 FL-OFR $5,000
Sterling Associates   2002 FL-OFR $5,000
C.J.M. Planning Corp.   2002 FL-OFR $5,000
Rushmore Securities Corp.   2002 FL-OFR $5,000
ICMA-RC Services, LLC   2002 FL-OFR $5,000
International Securities Corp.   2002 FL-OFR $5,000
Triad Advisors, Inc.   2002 FL-OFR $5,000
PRS Latam, LLC   2003 FL-OFR $5,000
Veravest Investments, Inc.   2003 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
PFS Investments, Inc.   2006 FL-OFR $5,000
Sine Capital, Inc.   2016 FL-OFR $5,000
Investment Planning, LLC   2017 GA-SEC $5,000
CSG Wealth Management   2018 GA-SEC $5,000
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
Morgan Sterling Currency Exchange, Inc.   2001 ID-SEC $5,000
Lost Rivers Hospital District dba Lost Rivers Medical Center   2003 ID-SEC $5,000
Multi-Financial Securities Corp.   2004 ID-SEC $5,000
John Thomas Financial   2009 ID-SEC $5,000
Strategic Capital Alternatives, LLC   2012 ID-SEC $5,000
Beacon Rock Investment Advisors, LLC   2013 ID-SEC $5,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Polite and Company   2003 IL-SEC $5,000
High Tech Financial Products aka EBD Consulting, Inc.   2004 IL-SEC $5,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 IL-SEC $5,000
G.D. Castillo M.D. Ltd. Profit Sharing Plan   2005 IL-SEC $5,000
Stralem & Company, Inc.   2006 IL-SEC $5,000
Z Touch Systems, Inc.   2006 IL-SEC $5,000
SilverShore Investment Group   2009 IL-SEC $5,000
Ghetzler Aero-Power Corp.   2010 IL-SEC $5,000
Tax Recovery Team   2011 IL-SEC $5,000
Fran Span Global, LLC et al.   2011 IL-SEC $5,000
Government Benefit Advisors, LLC   2015 IL-SEC $5,000
Elite Group Financial, LLC   2015 IL-SEC $5,000
LT Solutions Corp.   2016 IL-SEC $5,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
Elite Group Financial, LLC   2016 IL-SEC $5,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
Resources Planning Group, Inc.   2018 IL-SEC $5,000
Aggressive Lending Co.   2019 IL-SEC $5,000
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
Global Wealth Investments, LLC   2011 IN-SEC $5,000
The McCormick Group, LLC   2011 IN-SEC $5,000
Genesis Advisors, LLC   2011 IN-SEC $5,000
Steven W. Songer & Associates, Inc.   2012 IN-SEC $5,000
Twin Rocks Asset Management, Inc.   2013 IN-SEC $5,000
5 Star Investment Group, LLC   2015 IN-SEC $5,000
Kovack Securities Inc.   2015 IN-SEC $5,000
Legacy Practice Management, LLC   2016 IN-SEC $5,000
Blue Crab Partners, LLC   2017 IN-SEC $5,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Legacy Wealth Management   2018 IN-SEC $5,000
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Kingdom Oil, Inc.   2006 KY-FIN $5,000
Berry Resources, Inc.   2007 KY-FIN $5,000
Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC   2007 KY-FIN $5,000
Money Concepts Capital Corp.   2008 KY-FIN $5,000
East Fork Energy Partners, Inc.   2010 KY-FIN $5,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
Angel Rose Energy, LLC   2012 KY-FIN $5,000
M Holdings Securities, Inc.   2018 KY-FIN $5,000
Euclid Systems Corp.   2004 MD-SEC $5,000
Quizno's Franchising LLC and Quizno's Franchising II LLC   2006 MD-SEC $5,000
JHJ Funding, LLC   2009 MD-SEC $5,000
Money Management Advisory, Inc.   2010 MD-SEC $5,000
AFC Asset Management Services, Inc.   2010 MD-SEC $5,000
Dominion Partners Worldwide, LLC   2010 MD-SEC $5,000
Vocelli, LLC   2013 MD-SEC $5,000
First Command Financial Planning, Inc.   2013 MD-SEC $5,000
1-800-Flowers.com Franchise Co., Inc.   2014 MD-SEC $5,000
Bambu Desserts and Drinks, Inc.   2016 MD-SEC $5,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Caffebene, Inc.   2018 MD-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
Tech Financial Group   2014 ME-SEC $5,000
SF Investments, Inc.   2017 ME-SEC $5,000
Option Mint   2018 ME-SEC $5,000
Kensington I.P. Limited   2018 ME-SEC $5,000
Salem Advisory Group LLC   2018 ME-SEC $5,000
Real Estate Man LLC   2018 ME-SEC $5,000
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
Rein Construction, LLC   2015 MI-SEC $5,000
Wedgewood Properties, LLC   2016 MI-SEC $5,000
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Manaia Capital Management, Inc.   2017 MI-SEC $5,000
Legacy Planning & Associates, Inc.   2017 MI-SEC $5,000
Goldeneye Asset Management, LLC   2018 MI-SEC $5,000
Royal Securities Co. and Royal Advisers, LLC   2018 MI-SEC $5,000
ASI Capital, LLC et al.   2020 MI-SEC $5,000
FSC Securities Corp.   2000 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2002 MN-FIN $5,000
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.