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 Year Agency Penalty Amountsort icon
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
Calandro Advisory Services Inc.   2009 TX-SEC $10,000
Investors Capital Corp.   2009 TX-SEC $10,000
Caprock Securities Inc.   2009 TX-SEC $10,000
808 Investments LLC et al.   2009 TX-SEC $10,000
Lorintine Capital LP   2020 TX-SEC $10,000
FIDELITY ASSURANCE ASSOCIATES   2005 VA-SEC $10,000
SUNAMERICA SECURITIES, INC. American International Group financial services 2006 VA-SEC $10,000
COMTEL, INC.   2007 VA-SEC $10,000
McKean County 3 Well, LLP,   2008 VA-SEC $10,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers   2008 VA-SEC $10,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE   2008 VA-SEC $10,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
J.W. KORTH & COMPANY, LP   2015 VA-SEC $10,000
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
Retirement Base Camp   2019 WA-FIN $10,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Reign Capital Management, LLC   2017 WA-FIN $10,000
Northwest Crest, LLC and NW Crest Capital, LLC   2017 WA-FIN $10,000
Your Local Market, LLC   2014 WA-FIN $10,000
Cirrus Partners, Inc.   2014 WA-FIN $10,000
MRG International, Inc.   2014 WA-FIN $10,000
SPF, INC   2013 WA-FIN $10,000
Dinotech Corp.   2013 WA-FIN $10,000
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
Better World Materials Inc.   2012 WA-FIN $10,000
L&L International Holdings, Inc.   2009 WA-FIN $10,000
Valkyrie, Inc.   2009 WA-FIN $10,000
Pine Canyon Enterprises, Inc.   2007 WA-FIN $10,000
Mana, LLC   2005 WA-FIN $10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
Selway Asset Management Inc.   2020 ID-SEC $10,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Crossroads Community Church Inc.   2020 KY-FIN $10,000
Ionx Capital Holdings Inc.   2020 KY-FIN $10,000
Conestoga Trust   2020 MO-SEC $10,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
Priority Wealth Advisors, Inc.   2020 CA-DFPI $10,000
Neighborhood Networks Publishing, Inc.   2020 CA-DFPI $10,000
Volumetric Fund, Inc.   2021 CT-BKG $10,000
Lead Point Wealth Management, LLC   2021 KY-FIN $10,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Cantone Research, Inc.   2020 NJ-BOS $10,000
OTR, Inc.   2020 SEC $10,000
Spelman & Co.   2009 FINRA $10,000
Tejas Securities Group, Inc.   2005 FINRA $10,000
UBS International Inc. UBS financial services 2005 FINRA $10,000
Mid-Atlantic Capital Corporation   2004 FINRA $10,000
Options Trading Associates, LLC   2004 FINRA $10,000
Transcend Capital, LP   2004 FINRA $10,000
UBS Securities, L.L.C. UBS financial services 2004 FINRA $10,000
Gerard Klauer Mattison & Co., Inc.   2001 FINRA $10,000
BancBoston Robertson Stephens Bank of America financial services 2001 FINRA $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Spear, Leeds & Kellogg Goldman Sachs financial services 2001 FINRA $10,000
Chase Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Ramius Securities LLC   2001 FINRA $10,000
Prudential Securities, Inc. Wells Fargo financial services 2001 FINRA $10,000
Ecovista Development LLC and Ecovista Avondale LLC   2021 AZ-SEC $10,000
PFM Management Services, Inc.   2021 TN-SEC $10,000
Gateway Financial & Estate Planning, Inc.   2021 WA-SEC $10,000
First United Reserve, LLC   2021 MN-FIN $10,000
Divi-Vest Advisors, Inc.   2021 PA-BKG $10,000
Dynamic Trading Management LLC   2021 SEC $10,000
Eastside Financial Advisors LLC   2021 SEC $10,000
Sauberan & Company LLC   2021 SEC $10,000
Bill Parker Agency   2021 SEC $10,000
Birkelbach & Co.   2021 SEC $10,000
Greentree Investment Services Inc.   2021 SEC $10,000
ST Invest LLC d/b/a Trade App   2021 SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
Larada Sciences, LLC   2018 WA-FIN $9,725
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Andrew Garrett, Inc.   2006 MO-SEC $9,500
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.