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
Traverse Bay Investments Company, Ltd.   2015 MI-SEC $10,000
Flying G Racing   2016 MI-SEC $10,000
PercentPlus A Limited Liability Co.   2016 MI-SEC $10,000
Agape Global Investments Corp.   2016 MI-SEC $10,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
Genesis Fund, LLC   2017 MI-SEC $10,000
GenVest VI, LLC   2017 MI-SEC $10,000
Scott Schultz Closed-End Funds, Inc.   2018 MI-SEC $10,000
Percipience, LLC   2018 MI-SEC $10,000
GenVest III, LLC   2018 MI-SEC $10,000
First Nationle Solution, LLC   2018 MI-SEC $10,000
GenVest VII, LLC   2018 MI-SEC $10,000
Independence Capital Co., Inc.   2019 MI-SEC $10,000
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
Cannas Capital, LLC   2020 MI-SEC $10,000
SLB Creations, Inc.   2020 MI-SEC $10,000
Mortgage Group III, LLC   2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
Benchmark Financial Planning, Inc.   2010 MN-FIN $10,000
Ryan Capital Advisors, LLC   2013 MN-FIN $10,000
The Financial Planning Group, Inc.   2013 MN-FIN $10,000
Property Fraud Prevention, LLC   2015 MN-FIN $10,000
Titan Trade Club   2018 MN-FIN $10,000
AlphaQuest Partners LLC   2019 MN-FIN $10,000
Monex Deposit Company et al.   2020 MN-FIN $10,000
Wyoming Financial Securities, Inc.   2005 MO-SEC $10,000
King's Country Music Show   2006 MO-SEC $10,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Guardian Financial Group, LLC   2008 MO-SEC $10,000
Premier Capital Advisors, Inc.   2009 MO-SEC $10,000
Trinity Capital Management, LLC   2014 MO-SEC $10,000
Quantum Business Golf International, Inc. et al.   2016 MO-SEC $10,000
Assemblies of God Loan Fund   2017 MO-SEC $10,000
MTW Investment Financing, LLC   2005 MS-SEC $10,000
Mowdy Financial, LLC   2006 MS-SEC $10,000
Glacier Wealth, Inc.   2015 MT-SEC $10,000
Kairos Properties LLC   2016 MT-SEC $10,000
Youngevity International, Inc.   2016 MT-SEC $10,000
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Assemblies of God Loan Fund   2005 ND-SEC $10,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
Recycled Asphalt Shingle Technology LLC   2013 NH-BSR $10,000
J.D. Nicholas & Associates   2015 NH-BSR $10,000
Flagship Harbor Advisors, LLC   2018 NH-BSR $10,000
ACCA Enterprises LLC   2017 NM-SEC $10,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
Waddell & Reed Inc. Macquarie financial services 2008 OK-SEC $10,000
The O.N. Equity Sales Company   2012 OK-SEC $10,000
Premier Capital LLC   2013 OK-SEC $10,000
LeMans Portfolio Design LLC   2019 OK-SEC $10,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
San Clemente Securities   2000 OR-FIN $10,000
U.S. Securities Intl. Corp.   2002 OR-FIN $10,000
Safe Systems, Inc.   2012 OR-FIN $10,000
Genesis Holdings Group, Inc. and Phoenix Development Group, Inc.   2012 OR-FIN $10,000
Philippine Gold Importation Venture   2012 OR-FIN $10,000
Grace Financial Group, LLC   2014 OR-FIN $10,000
Nativeone Institutional Trading, LLC   2014 OR-FIN $10,000
Redwine & Company, Inc.   2014 OR-FIN $10,000
Invest Northwest, L.L.C.   2015 OR-FIN $10,000
Comprehensive Capital Management Inc.   2013 PA-BKG $10,000
Quattro Advisors LLC   2013 PA-BKG $10,000
EPG Advisory LLC   2013 PA-BKG $10,000
Montchanin Asset Management LLC   2014 PA-BKG $10,000
IBN Financial Services Inc.   2014 PA-BKG $10,000
Wall Private Wealth LLC   2017 PA-BKG $10,000
Iron Will Advisory Group   2017 PA-BKG $10,000
MidAmerica Financial Services Inc.   2015 PA-BKG $10,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 PA-BKG $10,000
PMN Inc. dba Portfolio Management Network Inc.   2018 PA-BKG $10,000
Kairos Capital Advisors LLC   2018 PA-BKG $10,000
The McMahon Team LLC   2019 PA-BKG $10,000
Barrett & Co.   2015 RI-FIN $10,000
Pinnacle Management Group LLC   2011 SC-SEC $10,000
PDP Management LP   2011 SC-SEC $10,000
Benchmark Capital Investment, LLC   2013 SC-SEC $10,000
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
Drummond & Associates Financial Services LLC   2015 SC-SEC $10,000
Boardroom Private Investment Group   2016 SC-SEC $10,000
KPM Financial LLC   2017 SC-SEC $10,000
PowerOne Corporation   2018 SC-SEC $10,000
Wesleyan Investment Foundation Inc.   2018 SD-INS $10,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
Westminster Securities Corporation   2000 TN-SEC $10,000
Goldis Financial Group Inc.   2001 TN-SEC $10,000
MONY Securities Corporation Equitable Holdings financial services 2003 TN-SEC $10,000
Continental Broker-Dealer Corp.   2004 TN-SEC $10,000
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
Lone Star Securities Inc.   2003 TX-SEC $10,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
FlexVest Securities Group Inc.   2005 TX-SEC $10,000
Kaizen Management LP   2005 TX-SEC $10,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Windward Partners LLC   2007 TX-SEC $10,000
IMS Securities Inc.   2008 TX-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.