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
Darel Baer Investment Advisory LLC   2014 CA-DFPI $13,500
Branch Banco, Inc.   2007 FL-OFR $13,500
MK Investments, LLC   2016 IN-SEC $13,500
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
Wealth Management Institute, Ltd.   2005 MD-SEC $13,406
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
3D Money, LLC et al.   2020 WA-FIN $13,312
Securities Compliance Department   2005 MO-SEC $13,298
The Investment Advisory Group, L.L.C.   2011 AZ-SEC $13,200
The Huntington Investment Co.   2006 CT-SEC $13,150
Valiant Industries Inc. et al.   2016 IN-SEC $13,000
National Securities Corp.   2004 MO-SEC $13,000
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
EWC FRANCHISE, LLC   2013 VA-SEC $13,000
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
Best Western International, Inc.   2020 VA-SEC $13,000
Olympic Coast Investment, Inc.   2010 WA-FIN $13,000
LaSalle St. Securities, L.L.C.   2000 FINRA $13,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
South American Trading, Inc.   2010 IN-SEC $12,772
Harbor Financial Services, LLC   2006 CT-SEC $12,750
Liquid Equities Corp.   2015 MO-SEC $12,733
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Joel R. Mogy Investment Counsel, Inc.?   2001 SEC $12,500
First Kentucky Securities Corp.   2016 AL-SEC $12,500
Realty Mortgage Corp.   2007 AR-SEC $12,500
United Fidelity Funding Corp.   2010 AR-SEC $12,500
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Viatical Center, Inc.   2002 AZ-SEC $12,500
Salomon Whitney LLC   2011 CT-SEC $12,500
Meyers Associates, L.P.   2011 CT-SEC $12,500
Horter Investment Management, LLC   2019 CT-SEC $12,500
WCM Investment Management   2005 IL-SEC $12,500
Members Capital Advisors, Inc.   2008 IL-SEC $12,500
Pencrest Corp.   2010 IL-SEC $12,500
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2007 MS-SEC $12,500
Malachi Financial, LLC   2012 MS-SEC $12,500
Pruco Securities, LLC Prudential Financial financial services 2006 NE-DBF $12,500
Rasmusson Financial Group, Inc.   2011 NE-DBF $12,500
Team Resources Inc. and School Creek Production and Development Fund I   2012 NH-BSR $12,500
Ensconce Data Technology Inc.   2014 NH-BSR $12,500
Collaborative Med LLC   2012 SC-SEC $12,500
East Coast Investments   2013 SC-SEC $12,500
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
Integrity RIA, LLC   2019 TX-SEC $12,500
CHANELLO'S INTERNATIONAL, INC.   2013 VA-SEC $12,500
FOODNET FRANCHISING, INC. &   2013 VA-SEC $12,500
New Wave Innovations Ltd.   2019 WA-FIN $12,500
VI Capital Management, LLC   2018 WA-FIN $12,500
InvestingCI, LLC   2017 WA-FIN $12,500
TVDeeBee, Inc.   2015 WA-FIN $12,500
Mongolia Holdings, Inc.   2015 WA-FIN $12,500
BlueRay Technologies, LLC et al.   2012 WA-FIN $12,500
Private Lender Funding, Inc. and The Moyer Company   2003 WA-FIN $12,500
PrimeFund, Inc. dba WealthFlex   2020 WA-SEC $12,500
Doyle, Miles & Co., L.L.C.   2004 FINRA $12,500
Quantlab Securities, L.P.   2004 FINRA $12,500
Elliot & Associates Wealth Management Inc.   2013 FL-OFR $12,375
Dream Dinners, Inc.   2012 WA-FIN $12,375
Superior Manufacturing, Inc.   2008 MO-SEC $12,330
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
First Nevada Marketing, Inc.   2007 MO-SEC $12,165
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc.   2000 FL-OFR $12,000
Anderson-David & Associates, Inc.   2002 ID-SEC $12,000
Puritan Securities Inc.   2008 MN-FIN $12,000
Friedman, Schnaier & Associates   2009 MN-FIN $12,000
EK Marketing, Inc.   2012 MO-SEC $12,000
Ernst & Associates, LLC   2016 MO-SEC $12,000
Central States Capital Markets, LLC   2016 MO-SEC $12,000
Trader's Way   2017 MO-SEC $12,000
MetLife Securities MetLife financial services 2005 OR-FIN $12,000
Anderson Heights Development LLC   2014 OR-FIN $12,000
Dunes Securities Corporation   2017 SC-SEC $12,000
New Millennium Investment Company   2005 TN-SEC $12,000
Milkie/Ferguson Investments Inc.   2004 TX-SEC $12,000
Mariner Investment Group   2009 TX-SEC $12,000
Halter Global Opportunity Fund Management LLC   2010 TX-SEC $12,000
ALL ABOUT HONEYMOONS FRANCHISE   2013 VA-SEC $12,000
HOCOA Franchising Co., LLC   2015 VA-SEC $12,000
Goldberg Financial, LLC   2015 VA-SEC $12,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
Binary Banc   2016 WA-FIN $12,000
MiniHYA Corp.   2016 WA-FIN $12,000
Dystopia Rising, LLC   2016 WA-FIN $12,000
Pangean Energy, LLC   2013 WA-FIN $12,000
Dorothy of Oz, LLC   2010 WA-FIN $12,000
City Escrow, Inc.   2004 WA-FIN $12,000
BNY Brokerage, Inc.   2004 FINRA $12,000
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
Manarin Securities Corp.   2005 IL-SEC $11,952
AFG Capital management, Inc.   2007 MO-SEC $11,870
Financial Assets Corp.   2010 MT-SEC $11,794
Butler, Wick & Co., Inc.   2004 MO-SEC $11,600
R.C. Transport, LLC   2008 MO-SEC $11,563
Eye International, L.L.C. and American International Beneficial Association, Inc.   2000 AZ-SEC $11,500
Octagon Financial Services, Inc.   2004 IL-SEC $11,500
Savant Capital Management, Inc.   2008 IL-SEC $11,500
Hinsdale Associates, Inc.   2009 IL-SEC $11,500
Sequoia Group, Inc.   2011 IL-SEC $11,500
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
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.