Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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 Industrysort icon Year Agency Penalty Amount
Decision Sciences Corporation   2009 SC-SEC $5,000
Sanco Services Inc.   2011 SC-SEC $5,000
Pinnacle Management Group LLC   2011 SC-SEC $10,000
Faith Based Investor LLC   2011 SC-SEC $6,000
PDP Management LP   2011 SC-SEC $10,000
Collaborative Med LLC   2012 SC-SEC $12,500
Great Nation Financial Corporation   2012 SC-SEC $7,500
Mutual Modeling Associates, Inc.   2012 SC-SEC $42,500
East Coast Investments   2013 SC-SEC $12,500
Venulum Ltd.   2013 SC-SEC $5,500
Compass Energy Holdings, Inc.   2013 SC-SEC $40,000
Benchmark Capital Investment, LLC   2013 SC-SEC $10,000
Meridian Capital Advisers, LLC   2013 SC-SEC $20,000
7 Oaks Pharmaceutical Corp.   2014 SC-SEC $50,000
Oil2 Holdings, Inc. and Couch Financial Services Incorporated   2014 SC-SEC $15,000
WR&A Financial Services LLC   2015 SC-SEC $10,000
Sonos Capital Advisors, LLC   2015 SC-SEC $10,000
Investment Advisory Center Inc.   2015 SC-SEC $10,000
Cannon Operating Company LLC   2015 SC-SEC $5,000
STG Investors LLC   2015 SC-SEC $7,500
Para Firm Corporation   2015 SC-SEC $35,000
Renaissance Laser LP   2015 SC-SEC $5,000
Cashbox Magazine Inc.   2015 SC-SEC $5,000
Drummond & Associates Financial Services LLC   2015 SC-SEC $10,000
Komak Investments LLC   2015 SC-SEC $5,000
Legend Securities Inc.   2016 SC-SEC $300,000
IL Enterprises LLC   2016 SC-SEC $60,000
Legend Securities Inc.   2016 SC-SEC $30,000
Boardroom Private Investment Group   2016 SC-SEC $10,000
Brooks Communications LLC   2016 SC-SEC $20,000
Conestoga Trust   2017 SC-SEC $30,000
Dunes Securities Corporation   2017 SC-SEC $12,000
KPM Financial LLC   2017 SC-SEC $10,000
PowerOne Corporation   2018 SC-SEC $10,000
Mackrow Asset Management Group   2018 SC-SEC $5,500
Charles Balcom and Consultants Ltd.   2017 SD-INS $20,000
Wesleyan Investment Foundation Inc.   2018 SD-INS $10,000
Clem Investments   2018 SD-INS $5,000
Terra Nova Trading LLC   2000 TN-SEC $7,500
Westminster Securities Corporation   2000 TN-SEC $10,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
Goldis Financial Group Inc.   2001 TN-SEC $10,000
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
Quality Financial Concepts   2003 TN-SEC $5,800
Cuso Equities Inc.   2003 TN-SEC $5,500
Continental Broker-Dealer Corp.   2004 TN-SEC $10,000
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Professional Asset Management Inc.   2004 TN-SEC $22,550
InvestIN Securities Inc.   2004 TN-SEC $6,094
Dixon Insurance Agency   2005 TN-SEC $9,268
New Millennium Investment Company   2005 TN-SEC $12,000
SF Investments Inc.   2005 TN-SEC $21,325
Granite Associates Inc.   2005 TN-SEC $17,500
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
Westfort Energy Ltd.   2006 TN-SEC $108,773
Hattier, Sanford & Reynoir LLP   2007 TN-SEC $25,000
Quadra Pay Inc. and Quadra Pay Land LLC   2009 TN-SEC $5,000
Church of God Foundation Inc.   2012 TN-SEC $5,050
Modern Investments LLC   2012 TN-SEC $6,890
Keblo Energy LLC   2013 TN-SEC $5,000
Quinn Financial Partners LLC   2013 TN-SEC $15,000
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
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Lirio LLC   2020 TN-SEC $8,000
Jones Wealth Management, LLC   2020 TN-SEC $15,000
Mountain States Capital Inc.   2000 TX-SEC $30,000
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
The Reserve Fund   2000 TX-SEC $150,000
Supertrade Securities Inc.   2000 TX-SEC $15,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
Woodlands Securities Corporation   2001 TX-SEC $5,000
Protrader Securities Corporation   2001 TX-SEC $20,000
Asset Planning Group Inc.   2002 TX-SEC $20,000
Kleinheinz Capital Partners Inc.   2002 TX-SEC $60,000
Willingham Asset Management Inc.   2003 TX-SEC $5,000
Lone Star Securities Inc.   2003 TX-SEC $10,000
Laradorbecker Securities Corporation   2003 TX-SEC $5,000
Premier Group Inc.   2003 TX-SEC $5,000
Northstar Energy Inc.   2003 TX-SEC $75,000
Top of Texas Financial Strategies Inc.   2003 TX-SEC $5,000
Allied Energy Group et al.   2004 TX-SEC $8,000
Milkie/Ferguson Investments Inc.   2004 TX-SEC $12,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
Tarpon Capital Management L.P.   2005 TX-SEC $80,000
Cornerstone Ministries Investments Inc. et al.   2005 TX-SEC $20,000
FlexVest Securities Group Inc.   2005 TX-SEC $10,000
Kaizen Management LP   2005 TX-SEC $10,000
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Tamborello Capital Management LLC   2005 TX-SEC $75,015
Prospera Financial Services Inc.   2006 TX-SEC $5,000
The Wilson Williams Financial Group   2006 TX-SEC $65,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Southwest Texas Capital L.L.C.   2006 TX-SEC $5,000
Sundial Capital Management L.P.   2006 TX-SEC $5,000
Ameritrade Inc.   2007 TX-SEC $200,000
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.