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 Industry Yearsort icon Agency Penalty Amount
GenVest VII, LLC   2018 MI-SEC $10,000
Wesleyan Investment Foundation, Inc.   2018 MI-SEC $20,000
Career Development Services International, LLC   2018 MN-FIN $20,000
Safe Harbor Retirement Solutions, LLC   2018 MN-FIN $40,000
Titan Trade Club   2018 MN-FIN $10,000
Elite Investment Advisors, LLC   2018 MO-SEC $20,000
Unity Oil & Gas   2018 MO-SEC $42,135
Akbar & Associates Legal Corp. and Integrity Benefits Solution Corp.   2018 MO-SEC $99,337
Rumelia Capital   2018 MO-SEC $150,400
Schaefer Wealth Management, Inc.   2018 MO-SEC $20,000
iPractice Group, Inc.   2018 MO-SEC $789,706
InnoVest Club, Inc. and WHYremote, Inc.   2018 MO-SEC $236,050
5A Holdings, LLC   2018 MO-SEC $3,548,483
Oakbridge Financial Services, Inc. and Private Label Money Management, Inc.   2018 MO-SEC $750,104
Baltic Fund   2018 MO-SEC $22,760
Mackrow Asset Management Group and Runnstarr Asset Management Group   2018 MO-SEC $7,372
JK Janitorial Software, LLC   2018 MO-SEC $138,401
Insight Investment Advisers LLC   2018 MO-SEC $8,000
Tropical Trade   2018 MO-SEC $137,109
Morgan Finances   2018 MO-SEC $76,058
Glenridge Capital   2018 MO-SEC $232,189
LPL Financial LLC LPL Financial financial services 2018 MS-SEC $40,000
FSC Securities Corp.   2018 MT-SEC $151,000
Alexander Capital, L.P.   2018 MT-SEC $206,339
Rydex Distributors, Inc.   2018 NH-BSR $150,000
State Street Bank and Trust Company State Street Corp. financial services 2018 NH-BSR $325,000
Windsor Street Capital, LP   2018 NH-BSR $5,000
Strudwick Wealth Strategies, Inc.   2018 NH-BSR $280,000
Renaissance Institutional Management   2018 NH-BSR $5,000
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2018 NH-BSR $983,284
Flagship Harbor Advisors, LLC   2018 NH-BSR $10,000
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
NJLI Advisors L.L.C.   2018 NJ-BOS $100,000
JMI Associates LLC and JB Financial Resources   2018 NJ-BOS $750,000
Mirakill Brands, LLC   2018 NJ-BOS $100,000
Financial Planning Advisors, LLC   2018 NJ-BOS $500,000
Wilshire-Pennington Group Inc.   2018 OK-SEC $25,000
Becker, Jackson & Reed LLC   2018 OR-FIN $60,000
Wellington Sports Club LLC et al.   2018 OR-FIN $35,000
Wesleyan Investment Foundation Inc.   2018 PA-BKG $50,000
Harris Financial Management   2018 PA-BKG $100,000
Spectrum Wealth Management LLC   2018 PA-BKG $25,000
PMN Inc. dba Portfolio Management Network Inc.   2018 PA-BKG $10,000
Kairos Capital Advisors LLC   2018 PA-BKG $10,000
Malaguti Wealth Management LLC   2018 PA-BKG $25,000
Roche Asset Management LLC   2018 PA-BKG $30,000
IFS Securities Inc.   2018 PA-BKG $15,000
Apollo18 LLC   2018 PA-BKG $5,000
Complete Business Solutions Group Inc. dba Par Funding   2018 PA-BKG $499,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2018 RI-FIN $175,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
PowerOne Corporation   2018 SC-SEC $10,000
Mackrow Asset Management Group   2018 SC-SEC $5,500
Wesleyan Investment Foundation Inc.   2018 SD-INS $10,000
Clem Investments   2018 SD-INS $5,000
Wesleyan Investment Foundation Inc.   2018 TN-SEC $13,000
Sunlight Investments   2018 TX-SEC $15,000
Trade-PMR Inc.   2018 TX-SEC $25,000
Brazos Securities Inc.   2018 TX-SEC $20,000
CRITTER CONTROL INC. Rollins Inc. miscellaneous services 2018 VA-SEC $23,500
BLOOP FROZEN YOGURT, LLC   2018 VA-SEC $45,000
COMMUNICLIQUE, INC.   2018 VA-SEC $10,980,923
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
LINCOLN FINANCIAL SECURITIES Lincoln National financial services 2018 VA-SEC $20,000
LARADA SCIENCES, INC.   2018 VA-SEC $15,500
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
WINGS TO GO, INC.   2018 VA-SEC $7,500
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
RESULTS AUCTION, LLC   2018 VA-SEC $79,255
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2018 VT-FIN $120,000
D.A. Davidson and Co.   2018 VT-FIN $60,000
Stock Investment Management Inc.   2018 VT-FIN $15,000
Capital Energy Group LLC   2018 WA-FIN $31,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
Pacific Watercraft Group, Inc.   2018 WA-FIN $5,500
Brisk Management, LLC   2018 WA-FIN $11,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc.   2018 WA-FIN $250,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Larada Sciences, LLC   2018 WA-FIN $9,725
RealizedEquityServices LLC   2018 WA-FIN $32,500
VI Capital Management, LLC   2018 WA-FIN $12,500
Masters United 12 LLC et al.   2018 WA-FIN $5,000
Legacy Prosperity Partners, LLC   2018 WI-FIN $24,196
MFB Investments, LLC   2018 WI-FIN $211,539
LPL Financial LLC LPL Financial financial services 2018 MULTI-FIN $26,000,000
LPL Financial, LLC LPL Financial financial services 2018 FINRA $2,750,000
Interactive Brokers LLC Interactive Brokers Group financial services 2018 FINRA $5,500,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2018 FINRA $6,000,000
Instinet, LLC   2018 FINRA $1,575,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 FINRA $1,500,000
1pool Ltd.   2019 CFTC $421,000
Royal Leisure International, Inc. and Gold Chasers, Inc.   2019 CFTC $10,970,756
The Tulving Company, Inc.   2019 CFTC $15,761,432
Pishon Holding LLC   2019 CFTC $1,259,317
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
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.