Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,390,530,420
Number of Penalty Records: 
6,545
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
Truckville Inc. dba EZ Finance Auto Sales   2000 AZ-SEC $5,000
Steven S. Levine Chartered   2001 AZ-SEC $5,000
William R. Evans Chartered   2002 AZ-SEC $5,000
Beneficial Assistance   2002 AZ-SEC $5,000
Estate Conservation Strategies, Inc.   2002 AZ-SEC $5,000
Universal FX Incorporated   2005 AZ-SEC $5,000
Worldwide Forex, Inc.   2005 AZ-SEC $5,000
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
WSK Energy, L.L.C.   2006 AZ-SEC $5,000
Panama Capital Funding, L.L.C.   2008 AZ-SEC $5,000
Sports Dimensions, Inc.   2010 AZ-SEC $5,000
Global Trading Partners, LLC   2010 AZ-SEC $5,000
La Bella Investments, LLC   2010 AZ-SEC $5,000
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C   2011 AZ-SEC $5,000
MT Explorations, LLC   2012 AZ-SEC $5,000
Real Estate Monster, LLC   2013 AZ-SEC $5,000
Biltmore Wealth Advisors, LLC   2015 AZ-SEC $5,000
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Simpson Capital Management, Inc.   2014 CA-DFPI $5,000
WCM Global Wealth, LLC   2015 CA-DFPI $5,000
Harbor Island Wealth Management   2017 CA-DFPI $5,000
Continuum Financial Partners, LLC   2017 CA-DFPI $5,000
Tiburon Research Group, Inc.   2018 CA-DFPI $5,000
Roll-A-Cover, LLC   2007 CT-SEC $5,000
Silver Oak Securities, Inc.   2009 CT-SEC $5,000
Multivend, LLC dba Vendstar   2009 CT-SEC $5,000
CT Equity Partners, LLC   2009 CT-SEC $5,000
Mercer Capital Ltd.   2010 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2010 CT-SEC $5,000
Spear Capital Management, Inc.   2011 CT-SEC $5,000
Brookville Capital Partners   2012 CT-SEC $5,000
Columbus Advisory Group, Ltd.   2014 CT-SEC $5,000
First Connecticut Capital, LLC   2015 CT-SEC $5,000
David Lerner Associates, Inc.   2016 CT-SEC $5,000
Evans Technology Holding Co.   2018 CT-SEC $5,000
Empire Wine & Liquor Superstore CT, LLC   2018 CT-SEC $5,000
Blaine Capital, LLC   2018 CT-SEC $5,000
Blackboard, Inc.   2004 DC-DISB $5,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Miller Johnson Steichen Kinnard, Inc.   2005 DE-SEC $5,000
Condor and Eagle, Inc., Contact Generation, Inc. and TCI   2000 FL-OFR $5,000
The Providence Group dba The Providence Investment Club   2001 FL-OFR $5,000
Trinity Investment Club Ltd.   2001 FL-OFR $5,000
Sterling Associates   2002 FL-OFR $5,000
C.J.M. Planning Corp.   2002 FL-OFR $5,000
Rushmore Securities Corp.   2002 FL-OFR $5,000
ICMA-RC Services, LLC   2002 FL-OFR $5,000
International Securities Corp.   2002 FL-OFR $5,000
Triad Advisors, Inc.   2002 FL-OFR $5,000
PRS Latam, LLC   2003 FL-OFR $5,000
Veravest Investments, Inc.   2003 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
PFS Investments, Inc.   2006 FL-OFR $5,000
Sine Capital, Inc.   2016 FL-OFR $5,000
Investment Planning, LLC   2017 GA-SEC $5,000
CSG Wealth Management   2018 GA-SEC $5,000
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
Morgan Sterling Currency Exchange, Inc.   2001 ID-SEC $5,000
Lost Rivers Hospital District dba Lost Rivers Medical Center   2003 ID-SEC $5,000
Multi-Financial Securities Corp.   2004 ID-SEC $5,000
John Thomas Financial   2009 ID-SEC $5,000
Strategic Capital Alternatives, LLC   2012 ID-SEC $5,000
Beacon Rock Investment Advisors, LLC   2013 ID-SEC $5,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Polite and Company   2003 IL-SEC $5,000
High Tech Financial Products aka EBD Consulting, Inc.   2004 IL-SEC $5,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 IL-SEC $5,000
G.D. Castillo M.D. Ltd. Profit Sharing Plan   2005 IL-SEC $5,000
Stralem & Company, Inc.   2006 IL-SEC $5,000
Z Touch Systems, Inc.   2006 IL-SEC $5,000
SilverShore Investment Group   2009 IL-SEC $5,000
Ghetzler Aero-Power Corp.   2010 IL-SEC $5,000
Tax Recovery Team   2011 IL-SEC $5,000
Fran Span Global, LLC et al.   2011 IL-SEC $5,000
Government Benefit Advisors, LLC   2015 IL-SEC $5,000
Elite Group Financial, LLC   2015 IL-SEC $5,000
LT Solutions Corp.   2016 IL-SEC $5,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
Elite Group Financial, LLC   2016 IL-SEC $5,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
Resources Planning Group, Inc.   2018 IL-SEC $5,000
Aggressive Lending Co.   2019 IL-SEC $5,000
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
Global Wealth Investments, LLC   2011 IN-SEC $5,000
The McCormick Group, LLC   2011 IN-SEC $5,000
Genesis Advisors, LLC   2011 IN-SEC $5,000
Steven W. Songer & Associates, Inc.   2012 IN-SEC $5,000
Twin Rocks Asset Management, Inc.   2013 IN-SEC $5,000
5 Star Investment Group, LLC   2015 IN-SEC $5,000
Kovack Securities Inc.   2015 IN-SEC $5,000
Legacy Practice Management, LLC   2016 IN-SEC $5,000
Blue Crab Partners, LLC   2017 IN-SEC $5,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Legacy Wealth Management   2018 IN-SEC $5,000
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Kingdom Oil, Inc.   2006 KY-FIN $5,000
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.