Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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 Agencysort icon Penalty Amount
LionHearted Entertainment, Inc.   2006 WA-FIN $15,000
Family First Advanced Estate Planning and Family First Insurance Services   2006 WA-FIN $50,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Anthone Properties, LLC   2005 WA-FIN $60,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Pacific Coast Investment Company   2005 WA-FIN $5,000
Runnymede Capital Partners and Runnymede Capital Management   2005 WA-FIN $15,000
Millennium Marketing and Management, LLC   2005 WA-FIN $15,000
Financial & Estate Strategies, Inc.   2005 WA-FIN $45,000
Mana, LLC   2005 WA-FIN $10,000
MA Quik Framing Inc.   2005 WA-FIN $15,000
Newcastle Escrow Corporation   2005 WA-FIN $5,000
City Escrow, Inc.   2004 WA-FIN $12,000
DBH Growth Fund   2004 WA-FIN $15,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 WA-FIN $325,000
Pacific Coast Investment Company   2004 WA-FIN $108,000
Lilac City Closing & Escrow LLC   2004 WA-FIN $5,000
Northwest Best Direct, Inc.   2004 WA-FIN $39,000
Great Northern Financial Services, Inc.   2004 WA-FIN $30,000
Statewide Escrow   2003 WA-FIN $6,500
Success Concepts Enterprises, Inc. and World Business Consultants, Inc.   2003 WA-FIN $5,000
LDS Securities, LLC   2003 WA-FIN $20,000
Private Lender Funding, Inc. and The Moyer Company   2003 WA-FIN $12,500
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
Pacific West Securities, Inc.   2002 WA-FIN $130,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
Clairmont Capitol, Inc.   2002 WA-FIN $6,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
Preferred Funding, Inc.   2001 WA-FIN $5,000
Payday Today, Inc.   2001 WA-FIN $50,000
Woodstock Securities, Ltd.   2001 WA-FIN $6,000
Halydean Corp.   2020 WA-SEC $20,000
Paramount Financial Advisors LLC   2020 WA-SEC $80,000
PrimeFund, Inc. dba WealthFlex   2020 WA-SEC $12,500
603 Financial, Inc. dba Goddard Financial Planning   2020 WA-SEC $15,000
Full_Tilton Ventures, LLC   2020 WA-SEC $7,500
Blue Gold co LC   2020 WA-SEC $11,250
Unikrn Inc.   2020 WA-SEC $310,000
Signal Capital Management LLC   2020 WA-SEC $5,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Dragonchain, Inc.   2021 WA-SEC $60,000
Wesleyan Investment Foundation   2021 WA-SEC $11,500
American Equities, Inc.   2020 WA-SEC $115,000
Gateway Financial & Estate Planning, Inc.   2021 WA-SEC $10,000
Svaram Group, Inc. and Svaram Global, LLC   2021 WA-SEC $6,000
Lasting Connections, LLC   2021 WA-SEC $5,000
Pioneer Square Advisors, LLC   2021 WA-SEC $25,000
Sommers Financial Management, LLC   2021 WA-SEC $30,000
Capital Management Associates LLC   2021 WA-SEC $5,000
Guardian Data Systems, LLC   2021 WA-SEC $9,500
Tryp Technologies Inc.   2021 WA-SEC $34,000
Resolute Capital Partners, Ltd. et al.   2021 WA-SEC $263,525
Conestoga Settlement Services LLC   2019 WI-FIN $300,000
Wisconsin Retirement & Insurance Advisors, LLC   2019 WI-FIN $72,651
Legacy Financial Network and Retirement Services, Inc.   2019 WI-FIN $177,937
Dreambuilder Investments, LLC   2019 WI-FIN $5,000
Legacy Prosperity Partners, LLC   2018 WI-FIN $24,196
MFB Investments, LLC   2018 WI-FIN $211,539
The Investment Counsel, LLC   2016 WI-FIN $60,000
Herget Group, LLC   2015 WI-FIN $166,400
The Prudential Investment Portfolios, Inc.   2007 WI-FIN $5,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2007 WI-FIN $50,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
PV Wealth Advisors, LLC   2021 WI-FIN $204,737
SB Financial Group   2020 WI-FIN $25,000
UAB Mid West Group   2020 WI-FIN $250,000
Geaux Global   2020 WI-FIN $155,000
CTOption   2020 WI-FIN $24,000
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.