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 Agencysort icon Penalty Amount
Trager, L.L.C.   2019 AZ-SEC $50,000
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Maximo Natural Products, Inc.   2020 AZ-SEC $353,751
Western Gateway Region Rural Broadband Company, Inc   2020 AZ-SEC $15,000
AuroraTek Incorporated   2020 AZ-SEC $742,420
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
The Joseph Project   2021 AZ-SEC $75,000
Performance Arbitrage Company, Inc. et al.   2020 AZ-SEC $653,191
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C.   2020 AZ-SEC $60,000
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
Meroe Capital Group Ltd et al.   2021 AZ-SEC $992,980
The Joseph Project   2021 AZ-SEC $9,210,000
Arizona Acquisitions Group LLC   2021 AZ-SEC $505,900
Ecovista Development LLC and Ecovista Avondale LLC   2021 AZ-SEC $10,000
Wattenberg 1 LLC et al.   2021 AZ-SEC $488,880
Verdugo Gift Company   2021 AZ-SEC $6,988,143
Grand Oak Enterprises, LLC   2021 AZ-SEC $239,000
OWNZONES Media Network, Inc.   2021 AZ-SEC $4,500,000
NVSG702, LLC and NVSG702, LLC and Silverstate702, LLC   2021 AZ-SEC $559,699
AE Wealth Management, LLC   2021 AZ-SEC $1,309,400
Realty Mortgage Corp.   2007 AR-SEC $12,500
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Girosol of Kentucky, Corp.   2008 AR-SEC $5,000
Great Nation Investment Corp.   2008 AR-SEC $21,112
Boardwalk Mortgage Group, LLC   2008 AR-SEC $5,631
Southwestern Union Conference of Seventh-day Adventists   2008 AR-SEC $5,000
Key Financial Corp.   2009 AR-SEC $5,000
Gateway Mortgage Group, LLC   2009 AR-SEC $15,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Apple Tree Investments, Inc.   2009 AR-SEC $50,000
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
Overland Mortgage Corp.   2010 AR-SEC $30,000
Nationwide Mortgage Concepts, LLC   2010 AR-SEC $20,000
W.R Starkey Mortgage, LLP   2010 AR-SEC $20,000
United Fidelity Funding Corp.   2010 AR-SEC $12,500
Krisell Oil Company, Inc.   2011 AR-SEC $20,000
Lewis & Clark Outdoors, Inc.   2011 AR-SEC $7,000
Capital Markets Advisory, LLC fka Carr Miller Capital Investments, LLC   2012 AR-SEC $30,000
John Thomas Financial, Inc.   2012 AR-SEC $42,421
Morgan Keegan & Co. Raymond James Financial financial services 2012 AR-SEC $59,659
Newbridge Securities Corp.   2013 AR-SEC $17,377
Stephens Inc.   2013 AR-SEC $25,000
Interactive Brokers, LLC Interactive Brokers Group financial services 2013 AR-SEC $6,000
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
NSM Securities, Inc.   2013 AR-SEC $7,000
PowerOne Corp.   2014 AR-SEC $5,000
Vision Technologies, Inc.   2014 AR-SEC $8,000
Texas Energy Mutual, LLC   2014 AR-SEC $5,000
St. Bernard Financial Services, Inc.   2015 AR-SEC $25,000
Allied Energy, Inc.   2015 AR-SEC $7,500
McDonald Partners LLC   2016 AR-SEC $15,000
Regal Securities, Inc.   2017 AR-SEC $36,879
First Standard Financial Company, LLC   2017 AR-SEC $10,000
Wesleyan Investment   2018 AR-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
Crews and Associates, Inc.   2019 AR-SEC $5,000
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Alexander Capital, L.P.   2019 AR-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
QVG, LLC   2019 AR-SEC $8,000
D-Val, LLC and D-Val Construction & Real Estate Investments   2008 AR-SEC $326,000
Fidelity National Legal Systems, Inc.   2010 AR-SEC $10,000
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Gardner Insurance Agency, Inc.   2011 AR-SEC $122,365
Heritage Corner, Ltd. And Heritage Funding Group, Inc.   2011 AR-SEC $310,000
P-R-E, LLC dba Phoenix Renewable Energy   2013 AR-SEC $1,804,250
Nick Lynn Technologies, Inc.   2013 AR-SEC $70,000
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
Cetera Investment Services LLC   2021 AR-SEC $50,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2021 AR-SEC $50,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Caruba International, LLC   2005 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial financial services 2005 AL-SEC $100,000
Triton EP, LLC   2006 AL-SEC $10,000
Divine Capital Markets, LLC   2006 AL-SEC $5,241
Gulftex Operating, Inc.   2007 AL-SEC $7,500
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
American Heritage Church Finance, Inc.   2007 AL-SEC $12,000
Patapsco Securities, Inc. dba Chapin Davis   2008 AL-SEC $5,377
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
Newman Energy Corp.   2008 AL-SEC $7,000
Rothschild Investment Corp.   2008 AL-SEC $17,646
Mowell Financial Group, Inc.   2009 AL-SEC $125,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Corporate Property Associates 15 Inc.   2010 AL-SEC $15,000
Consolidated Management Advisors, Inc. and Consolidated Capital Management, Inc.   2010 AL-SEC $120,000
Clean Energy Pathways, Inc.   2010 AL-SEC $5,000
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
Bluepac Management LLC   2012 AL-SEC $7,000
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.