Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
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
CGF Securities, LLC   2003 MN-FIN $5,000
Thomas G. Grace Advisors   2008 MN-FIN $5,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
ING Financial Partners, Inc. Voya Financial financial services 2012 MN-FIN $5,000
Revelle Resources, Inc.   2012 MN-FIN $5,000
Strive Financial Group LLC and Wealth Security Firm LLC   2013 MN-FIN $5,000
Life Organic Holdings, Inc.   2017 MN-FIN $5,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
American Blast Systems, Inc.   2017 MN-FIN $5,000
Vertical Securities, LLC and Vertical Group, LLC   2005 MO-SEC $5,000
R.M. Duncan Securities, Inc.   2005 MO-SEC $5,000
Easterday Exploration, Inc.   2006 MO-SEC $5,000
Omni Media & Entertainment, Inc.   2006 MO-SEC $5,000
Robert Olsen, P.C.   2007 MO-SEC $5,000
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Aisle 411, Inc.   2009 MO-SEC $5,000
Boulder Wealth Management, LLC   2010 MO-SEC $5,000
MFA Incorporated   2011 MO-SEC $5,000
Capital Management Services, Inc.   2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2011 MO-SEC $5,000
Guidepost Financial Limited Liability Company   2011 MO-SEC $5,000
Blackbay Capital Advisors   2012 MO-SEC $5,000
Valuepoint Partners, Inc.   2012 MO-SEC $5,000
WealthCare, LLC   2016 MO-SEC $5,000
Personal Financial Group   2017 MO-SEC $5,000
Williamson Poultry Farms, Inc.   2002 MS-SEC $5,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
MDM Energy   2007 MT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
Rothschild Investment Corp.   2008 MT-SEC $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2010 MT-SEC $5,000
Loveless Wealth management, LLC   2011 MT-SEC $5,000
Metlife Investors USA Insurance Co MetLife financial services 2012 MT-SEC $5,000
Delano & Morgenroth Investment Advisors, LLC   2013 MT-SEC $5,000
Close to My Heart, Inc.   2014 MT-SEC $5,000
Kannaway, LLC   2014 MT-SEC $5,000
Seacret Direct, LLC   2014 MT-SEC $5,000
Nutrie, LLC   2014 MT-SEC $5,000
Lawson Financial Corp.   2015 MT-SEC $5,000
Halen Capital   2017 MT-SEC $5,000
The Source   2020 NC-SEC $5,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Bison Capital Inc.   2001 ND-SEC $5,000
BrokerageAmerica Inc.   2001 ND-SEC $5,000
MDVIP Inc.   2003 ND-SEC $5,000
CGF Securities LLC   2003 ND-SEC $5,000
D & M Capital, LLC and Associated Financial Services, Inc.   2004 ND-SEC $5,000
Third Ridge Capital LP   2005 ND-SEC $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2002 NE-DBF $5,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 NE-DBF $5,000
III to I Emerging Market Partners Real Estate Investment Fund I, LP   2013 NH-BSR $5,000
III to I Maritime Partners Cayman I, L.P.   2013 NH-BSR $5,000
ACL Alternative Fund Limited   2013 NH-BSR $5,000
Johnston Capital Partners Fund I L.P.   2013 NH-BSR $5,000
Halliday Financial   2015 NH-BSR $5,000
Profile Club Inc.   2015 NH-BSR $5,000
Blackbook Capital, LLC   2016 NH-BSR $5,000
Hanover Consumer Cooperative Society, Inc.   2016 NH-BSR $5,000
Richard A. Norkun & Associates, LLC   2017 NH-BSR $5,000
Alternative Asset Management Securities, LLC   2017 NH-BSR $5,000
Windsor Street Capital, LP   2018 NH-BSR $5,000
Renaissance Institutional Management   2018 NH-BSR $5,000
Alight Financial Solutions, LLC   2019 NH-BSR $5,000
White Birch Brewing LLC   2020 NH-BSR $5,000
T.S. Phillips Investment Inc.   2010 OK-SEC $5,000
RAF Operating LLC   2013 OK-SEC $5,000
Pentecost Capital Management Inc.   2015 OK-SEC $5,000
E.J. Sterling LLC   2015 OK-SEC $5,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
Laser Vision Technologies Inc.   2000 OR-FIN $5,000
Prosper Trust   2000 OR-FIN $5,000
Energy Group International Inc.   2001 OR-FIN $5,000
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
First Liberty Financial   2005 OR-FIN $5,000
Gigapix Studios Inc.   2008 OR-FIN $5,000
Treasure Heart Financial Counseling   2011 OR-FIN $5,000
Cutler Investment Counsel, LLC   2011 OR-FIN $5,000
Eljay Investment Company   2012 OR-FIN $5,000
Castle Advisers, LLC   2012 OR-FIN $5,000
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(*): 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.