Violation Tracker Summary for Primary Offense Type
Offense Type:
investor protection violation
Penalty Total since 2000:
$76,226,569,211
Number of Penalty Records:
5,266
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 Companies | Total Penalty $ | Number of Records |
|---|
| Bank of America | $13,367,992,141 | 73 |
| UBS | $11,608,479,909 | 45 |
| Citigroup | $8,090,974,628 | 32 |
| JPMorgan Chase | $5,023,349,599 | 42 |
| Morgan Stanley | $4,104,110,712 | 83 |
| Deutsche Bank | $3,984,084,828 | 23 |
| Goldman Sachs | $3,688,695,987 | 24 |
| Wells Fargo | $2,404,990,130 | 51 |
| American International Group | $1,579,000,000 | 4 |
| MF Global | $1,324,000,000 | 3 |
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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or
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|
Company |
Parent |
Parent Major Industry |
Year |
Agency |
Penalty Amount |
|
Keblo Energy LLC |
|
|
2013 |
TN-SEC |
$5,000 |
|
The Home Email Business Corp. |
|
|
2016 |
TN-SEC |
$5,000 |
|
Beasley & Company |
|
|
2017 |
TN-SEC |
$5,000 |
|
Fieldstone Financial Partners LLC |
|
|
2017 |
TN-SEC |
$5,000 |
|
Wealth Investors LLC |
|
|
2017 |
TN-SEC |
$5,000 |
|
Spectrum Financial Advisors LLC |
|
|
2019 |
TN-SEC |
$5,000 |
|
Woodlands Securities Corporation |
|
|
2001 |
TX-SEC |
$5,000 |
|
Willingham Asset Management Inc. |
|
|
2003 |
TX-SEC |
$5,000 |
|
Laradorbecker Securities Corporation |
|
|
2003 |
TX-SEC |
$5,000 |
|
Premier Group Inc. |
|
|
2003 |
TX-SEC |
$5,000 |
|
Top of Texas Financial Strategies Inc. |
|
|
2003 |
TX-SEC |
$5,000 |
|
Prospera Financial Services Inc. |
|
|
2006 |
TX-SEC |
$5,000 |
|
Southwest Texas Capital L.L.C. |
|
|
2006 |
TX-SEC |
$5,000 |
|
Sundial Capital Management L.P. |
|
|
2006 |
TX-SEC |
$5,000 |
|
Gamboa Capital Management Inc. |
|
|
2007 |
TX-SEC |
$5,000 |
|
International Wealth Management Inc. |
|
|
2008 |
TX-SEC |
$5,000 |
|
A.G. Edwards & Sons Inc. |
Wells Fargo |
financial services |
2008 |
TX-SEC |
$5,000 |
|
LPL Financial Corporation |
LPL Financial |
financial services |
2008 |
TX-SEC |
$5,000 |
|
Dorothy of OZ LLC dba Box Office Productions III, LLC |
|
|
2009 |
TX-SEC |
$5,000 |
|
Navigant Advisors LLC |
|
|
2010 |
TX-SEC |
$5,000 |
|
Sarker Investments LLC |
|
|
2010 |
TX-SEC |
$5,000 |
|
Warner Financial Group Inc. |
|
|
2013 |
TX-SEC |
$5,000 |
|
Fuller Capital Management |
|
|
2016 |
TX-SEC |
$5,000 |
|
Rubicon Investment Management & Analytics LLC |
|
|
2016 |
TX-SEC |
$5,000 |
|
PTI Securities & Futures L.P. |
|
|
2017 |
TX-SEC |
$5,000 |
|
Grove Capital Management Inc. |
|
|
2019 |
TX-SEC |
$5,000 |
|
Frugal Financial Retirement Planning Services, LLC |
|
|
2019 |
TX-SEC |
$5,000 |
|
Challenger Wealth Management |
|
|
2020 |
TX-SEC |
$5,000 |
|
21ST. CENTURY TECHNOLOGIES FUNDING |
|
|
2001 |
VA-SEC |
$5,000 |
|
21ST. CENTURY TECHNOLOGIES LLC |
|
|
2001 |
VA-SEC |
$5,000 |
|
ADVANTAGE REAL ESTATE MANAGEMENT LLC |
|
|
2001 |
VA-SEC |
$5,000 |
|
BRIGHT COVE SECURITIES INC. |
|
|
2001 |
VA-SEC |
$5,000 |
|
ADVANTAGE REAL ESTATE LPS |
|
|
2001 |
VA-SEC |
$5,000 |
|
CORNERSTONE MINISTRIES |
|
|
2007 |
VA-SEC |
$5,000 |
|
Wealth Matters, Inc. |
|
|
2009 |
VA-SEC |
$5,000 |
|
TECSEC, INC. |
|
|
2011 |
VA-SEC |
$5,000 |
|
URBAN BAR-B-QUE COMPANY |
|
|
2014 |
VA-SEC |
$5,000 |
|
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes |
|
|
2015 |
VA-SEC |
$5,000 |
|
BLUE LIGHTNING ENTERPRISES INC. |
|
|
2015 |
VA-SEC |
$5,000 |
|
PAWS & REMEMBER LLC |
|
|
2017 |
VA-SEC |
$5,000 |
|
AMAZING FINISH, LLC |
|
|
2017 |
VA-SEC |
$5,000 |
|
BRIDGETOWN FRAGRANCES, INC. |
|
|
2017 |
VA-SEC |
$5,000 |
|
SNC Capital Management Corporation d/b/a RCM Securities |
|
|
2020 |
VA-SEC |
$5,000 |
|
Next Financial Group, Inc. |
Atria Wealth Solutions |
financial services |
2020 |
VA-SEC |
$5,000 |
|
Masters United 12 LLC et al. |
|
|
2018 |
WA-FIN |
$5,000 |
|
Saves, Inc. |
|
|
2015 |
WA-FIN |
$5,000 |
|
Pioneer Property Group, LLC and Queen's Court Building, LLC |
|
|
2010 |
WA-FIN |
$5,000 |
|
Energy Automation Systems, Inc. |
|
|
2010 |
WA-FIN |
$5,000 |
|
James F. Reitan CFP LLC |
|
|
2008 |
WA-FIN |
$5,000 |
|
Wortham Oil & Gas Enterprises, LLC |
|
|
2008 |
WA-FIN |
$5,000 |
|
Wortham Oil & Gas |
|
|
2008 |
WA-FIN |
$5,000 |
|
WOGE/WOG Ellison Well #1 Joint Venture |
|
|
2008 |
WA-FIN |
$5,000 |
|
CMHCEH, LLC |
|
|
2008 |
WA-FIN |
$5,000 |
|
Chum Chum Game Company |
|
|
2007 |
WA-FIN |
$5,000 |
|
Chesterfield Mortgage Investors, Inc. |
|
|
2007 |
WA-FIN |
$5,000 |
|
Great Plains Financial, LLC |
|
|
2007 |
WA-FIN |
$5,000 |
|
American Fiber Green Products, Inc. |
|
|
2008 |
WA-FIN |
$5,000 |
|
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc. |
|
|
2006 |
WA-FIN |
$5,000 |
|
Pacific Coast Investment Company |
|
|
2005 |
WA-FIN |
$5,000 |
|
Newcastle Escrow Corporation |
|
|
2005 |
WA-FIN |
$5,000 |
|
Lilac City Closing & Escrow LLC |
|
|
2004 |
WA-FIN |
$5,000 |
|
Success Concepts Enterprises, Inc. and World Business Consultants, Inc. |
|
|
2003 |
WA-FIN |
$5,000 |
|
Preferred Funding, Inc. |
|
|
2001 |
WA-FIN |
$5,000 |
|
Dreambuilder Investments, LLC |
|
|
2019 |
WI-FIN |
$5,000 |
|
The Prudential Investment Portfolios, Inc. |
|
|
2007 |
WI-FIN |
$5,000 |
|
MJG Enterprises, Inc. dba Mike's Lock Club |
|
|
2010 |
AZ-SEC |
$0 |
Download results as or
XML
(*): 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.
