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
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
Brisk Management, LLC   2018 WA-FIN $11,500
Fairfield Energy Inc. et al.   2011 WA-FIN $11,500
Wesleyan Investment Foundation   2021 WA-SEC $11,500
Solium Financial Services LLC Morgan Stanley financial services 2020 IL-SEC $11,385
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Wilmington Capital Securities, LLC   2020 CT-SEC $11,275
Wesleyan Investment Foundation, Inc.   2019 KY-FIN $11,250
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Blue Gold co LC   2020 WA-SEC $11,250
Renaud & Company, LLC   2012 MO-SEC $11,226
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Texas International Resources, L.L.C.   2016 MO-SEC $11,165
Asset & Financial Planning, Ltd.   2010 CT-SEC $11,150
CoreFunds, Inc.   2006 MO-SEC $11,040
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
Cannabis Plus Missouri, L.L.C. and Can Plus Mo Investments   2020 MO-SEC $11,016
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Alpha Capital Partners, LLC   2012 CA-DFPI $11,000
Phoenix Asset Group, LLC   2019 MN-FIN $11,000
george DEAN LLC   2019 MN-FIN $11,000
Pathway Advisors Group   2020 MO-SEC $11,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Roran Enterprises   2017 NM-SEC $11,000
Smith, Brown & Groover Inc.   2000 TN-SEC $11,000
FORTUNATO AND COMPANY, INC.   2006 VA-SEC $11,000
The New Dimension Group, LLC   2012 VA-SEC $11,000
Katana Capital, LLC   2016 WA-FIN $11,000
Global Asset Research and Recovery   2014 WA-FIN $11,000
Market4Cast Hedge Fund, LP   2011 WA-FIN $11,000
Iron Horse Petroleum, Inc.   2010 WA-FIN $11,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Spellbinder Funding LLC   2009 WA-FIN $11,000
Index Securities, LLC   2004 FINRA $11,000
BDT & Associates, Inc.   2021 VA-SEC $11,000
360 Painting, LLC   2021 VA-SEC $11,000
Jack V. Butterfield Investment Co.   2016 IL-SEC $10,957
Black Diamond Research, LLC   2006 CT-SEC $10,900
Skamp Investments LLC et al.   2005 MO-SEC $10,720
Lawson Financial Corp.   2013 MT-SEC $10,660
Integrity Assured Life Settlements, Inc.   2001 AZ-SEC $10,611
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
Allsource Financial Management, LLC   2015 MD-SEC $10,578
Bodell Overcash Anderson & Co., Inc.   2005 ME-SEC $10,538
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-BKG $10,510
CCM Management Group, LLC   2014 CA-DFPI $10,500
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
RPM Capital Management, LLC   2017 CT-SEC $10,400
LAS International Ltd.   2007 ND-SEC $10,400
Janney Montgomery Scott LLC Penn Mutual financial services 2006 RI-FIN $10,250
First American Securities, Inc.   2017 MN-FIN $10,200
Capital Funding Management, Inc.   2007 MO-SEC $10,165
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Aztec Capital, LLC   2013 CA-DFPI $10,125
Infinex Investments, Inc.   2007 IL-SEC $10,100
Boston Trading Advisors, LLC   2003 CFTC $10,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Wyoming Investment Management Services, LLC   2015 SEC $10,000
Securities Transfer Corporation   2011 SEC $10,000
Lone Star Transfer, Inc.   2002 SEC $10,000
ND Money Management, Inc.   2002 SEC $10,000
RansonCapital Corporation   2002 SEC $10,000
Stan D. Kiefer & Associates   2002 SEC $10,000
United Stock Transfer Inc.   2001 SEC $10,000
Focus Tech Investments, Inc.   2000 SEC $10,000
Adar International   2000 SEC $10,000
Longman & Associates, Inc.   2000 SEC $10,000
Kading Companies, S.A. and Joning Corp.   2000 SEC $10,000
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Mutual Coin Fund LLC   2019 SEC $10,000
Regal Securities   2010 NJ-AG $10,000
School Services of California, Inc.   2019 SEC $10,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Triton EP, LLC   2006 AL-SEC $10,000
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
First Standard Financial Company, LLC   2017 AR-SEC $10,000
Wesleyan Investment   2018 AR-SEC $10,000
Fidelity National Legal Systems, Inc.   2010 AR-SEC $10,000
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
Netgo, Inc. and SDIC Partnership and Camelback, Ltd.   2002 AZ-SEC $10,000
Bella Funding, L.L.C.   2008 AZ-SEC $10,000
Westcap Energy, Inc. dba Westcap Solar   2013 AZ-SEC $10,000
Neoteric Energy, Inc.   2014 AZ-SEC $10,000
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DFPI $10,000
Hayes and Associates Accountancy Corp.   2013 CA-DFPI $10,000
Artience Capital Management, LLC   2013 CA-DFPI $10,000
Highland Capital Group, Inc.   2013 CA-DFPI $10,000
Rama Capital Partners, LLC   2016 CA-DFPI $10,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Crawford Capital, LLC   2018 CA-DFPI $10,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Amada Franchise, Inc.   2020 CA-DFPI $10,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
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.