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
Andrew Garrett, Inc.   2006 MO-SEC $9,500
GenSafe Plastics, Inc.   2009 MO-SEC $9,500
H. Beck Inc.   2010 TX-SEC $9,500
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
Driver Opportunity Partners I, LP and Driver Management Company, LLC   2020 MD-FIN $9,500
Guardian Data Systems, LLC   2021 WA-SEC $9,500
SUMMIT WEALTH MANAGEMENT, LLC   2011 VA-SEC $9,350
BIO-FUEL DEVELOPMENT COMPANY   2014 VA-SEC $9,300
Dixon Insurance Agency   2005 TN-SEC $9,268
Allen Company of Florida, Inc.   2006 IL-SEC $9,250
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
Flatlander Industries, Inc.   2006 IL-SEC $9,135
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Weldon LLC   2013 AZ-SEC $9,000
The Social Equity Group, Inc.   2004 CA-DFPI $9,000
ProEquities, Inc. Dai-ichi Life financial services 2010 IN-SEC $9,000
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Grabill Bank   2011 IN-SEC $9,000
Window World, Inc.   2013 IN-SEC $9,000
Spar Cove Associates, Inc.   2015 ME-SEC $9,000
ShareValue, Inc.   2009 MO-SEC $9,000
Brookstreet Securities Corporation Inc.   2005 OR-FIN $9,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Legacy Harbor   2007 TX-SEC $9,000
FIREHOUSE RESTAURANT ET AL.   2005 VA-SEC $9,000
CAPITAL BUSINESS CONSULTANTS LLC   2013 VA-SEC $9,000
Berkshire Resources LLC and Berkshire (4OL) LLP   2007 WA-FIN $9,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
TPEG Securities, LLC   2020 CT-SEC $8,950
My Social Income, Inc.   2010 IN-SEC $8,938
Waddell & Reed, Inc. Macquarie financial services 2003 FL-OFR $8,800
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
Columbia Funds Series Trust   2017 CT-SEC $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2013 IN-SEC $8,500
Richards, Merrill & Peterson, Inc.   2015 NE-DBF $8,500
First Kentucky Securities Corporation   2016 NE-DBF $8,500
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TBOC, LLC   2012 WA-FIN $8,500
Wells Fargo Advisors, LLC Wells Fargo financial services 2010 IN-SEC $8,495
TEXAS BAR-B-Q FACTORY, ET AL.   2009 VA-SEC $8,300
Canady Holdings, Inc.   2006 MO-SEC $8,267
IHS Herold Inc.   2012 CT-SEC $8,050
Vision Technologies, Inc.   2014 AR-SEC $8,000
QVG, LLC   2019 AR-SEC $8,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
Pocketinns, Inc.   2018 IL-SEC $8,000
Fuhrmann Capital LLC   2010 IN-SEC $8,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
Financial Concepts, Inc.   2005 MD-SEC $8,000
Delaware Distributors, L.P.   2009 MD-SEC $8,000
VC Direct Solutions   2013 ME-SEC $8,000
Eastern Energy Corp.   2003 MN-FIN $8,000
Cornerstone Ministries Investments, Inc.   2005 MN-FIN $8,000
Insight Investment Advisers LLC   2018 MO-SEC $8,000
SameDay Security, Inc.   2016 MS-SEC $8,000
American Capital Corporation   2002 ND-SEC $8,000
Huntleigh Securities Corporation   2004 ND-SEC $8,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2006 ND-SEC $8,000
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
SK Group Inc.   2013 PA-BKG $8,000
Lirio LLC   2020 TN-SEC $8,000
Allied Energy Group et al.   2004 TX-SEC $8,000
First Western Securities Inc.   2007 TX-SEC $8,000
Provident Capital Management Inc.   2017 TX-SEC $8,000
BELLACINO'S, INC.   2005 VA-SEC $8,000
WINDOW WORLD, INC.   2012 VA-SEC $8,000
Sugar Shack Donuts, LLC   2017 VA-SEC $8,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Master Networks, LLC   2020 VA-SEC $8,000
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.   2015 WA-FIN $8,000
Liberty Roe Capital LLC   2020 VA-SEC $8,000
F.C. Franchising Systems, Inc. d/b/a Fresh Coat   2021 VA-SEC $8,000
FETCH! PET CARE INC.   2011 VA-SEC $7,700
Comfort Dental Group, Inc.   2012 WA-FIN $7,688
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
Millennium Group of New York, LLC   2001 SEC $7,602
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
Rhoads Lucca Capital Management   2013 IL-SEC $7,585
3C Advisors & Associates, Inc.   2016 SEC $7,500
Town Residential   2015 NY-AG $7,500
Gulftex Operating, Inc.   2007 AL-SEC $7,500
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
Allied Energy, Inc.   2015 AR-SEC $7,500
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Trademark INT PTT AB   2020 CA-DFPI $7,500
ICG Financial, LLC   2007 CT-SEC $7,500
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Laidlaw & Company (UK) Ltd.   2012 CT-SEC $7,500
Obsidian Financial Group, LLC   2013 CT-SEC $7,500
Fundraising Co-Op, Inc.   2013 CT-SEC $7,500
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC   2015 CT-SEC $7,500
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
S P Consulting, LLC   2018 CT-SEC $7,500
Quarve Associates, LLC   2019 CT-SEC $7,500
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.