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
Castle Advisers, LLC   2012 OR-FIN $5,000
Freeman Capital Management, LLC   2012 OR-FIN $5,000
Lincoln Highlands Limited Partnership   2012 OR-FIN $5,000
Catalyst Financial Resources, LLC   2013 OR-FIN $5,000
Avalon Investment & Securities Group, Inc.   2013 OR-FIN $5,000
Smith Rock Race Group, LLC   2014 OR-FIN $5,000
Thorne Trading & Investment Management   2014 OR-FIN $5,000
Business Development Corporation of America   2016 OR-FIN $5,000
CW Group LLC   2019 OR-FIN $5,000
McGervey Wealth Management LLC   2013 PA-BKG $5,000
Bryan Funding Inc.   2016 PA-BKG $5,000
Cobble Creek Group LLC   2016 PA-BKG $5,000
Elish & Elish Inc.   2017 PA-BKG $5,000
A. Neff Associates   2017 PA-BKG $5,000
GJO Financial   2017 PA-BKG $5,000
Apollo18 LLC   2018 PA-BKG $5,000
Iron Valley Wealth Management LLC   2019 PA-BKG $5,000
RCM Securities a/k/a SNC Capital Management Corporation   2019 PA-BKG $5,000
Lincoln Financial Advisors Corp. Lincoln National financial services 2007 RI-FIN $5,000
Hannah Street Consulting Inc.   2008 RI-FIN $5,000
Decision Sciences Corporation   2009 SC-SEC $5,000
Sanco Services Inc.   2011 SC-SEC $5,000
Cannon Operating Company LLC   2015 SC-SEC $5,000
Renaissance Laser LP   2015 SC-SEC $5,000
Cashbox Magazine Inc.   2015 SC-SEC $5,000
Komak Investments LLC   2015 SC-SEC $5,000
Clem Investments   2018 SD-INS $5,000
Quadra Pay Inc. and Quadra Pay Land LLC   2009 TN-SEC $5,000
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
Randomwalk Innovations, LLC   2020 SC-SEC $5,000
MJG Enterprises, Inc. dba Mike's Lock Club   2010 AZ-SEC $0
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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.