Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$77,810,804,234
Number of Penalty Records: 
5,487
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,821,847102
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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 Yearsort icon Agency Penalty Amount
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2019 NH-BSR $325,000
LeGall Holdings, Inc.   2019 NJ-BOS $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NJ-BOS $250,000
LeMans Portfolio Design LLC   2019 OK-SEC $10,000
Wilshire-Pennington Group Inc.   2019 OK-SEC $5,000
The Baker Group   2019 OK-SEC $15,000
American Family Legacy Group LLC   2019 OK-SEC $5,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
CW Group LLC   2019 OR-FIN $5,000
Platinum Trading Company   2019 OR-FIN $40,000
Wesleyan Investment Foundation, Inc.   2019 OR-FIN $13,500
RWM Asset Management LLC   2019 PA-BKG $20,000
Iron Valley Wealth Management LLC   2019 PA-BKG $5,000
Kestra Investment Services LLC   2019 PA-BKG $30,000
Klein Pavlis & Peasley Financial, Inc.   2019 PA-BKG $20,000
Cerebrum Financial Services LLC   2019 PA-BKG $25,000
The McMahon Team LLC   2019 PA-BKG $10,000
A Better Financial Plan LLC   2019 PA-BKG $490,000
RCM Securities a/k/a SNC Capital Management Corporation   2019 PA-BKG $5,000
Primitive Methodist Investment Foundation, Inc.   2019 PA-BKG $100,000
Miraculum Inc.   2019 PA-BKG $60,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
LPL Financial LLC LPL Financial financial services 2019 SC-SEC $40,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
Spectrum Financial Advisors LLC   2019 TN-SEC $5,000
Global Asset Management Group Inc.   2019 TX-SEC $7,500
Mintage Mining LLC et al.   2019 TX-SEC $25,000
Integrity RIA, LLC   2019 TX-SEC $12,500
LFS RIA, LLC   2019 TX-SEC $88,933
FRA Wealth Management LLC   2019 TX-SEC $20,000
Grove Capital Management Inc.   2019 TX-SEC $5,000
Lowell & Company Inc.   2019 TX-SEC $40,000
Frugal Financial Retirement Planning Services, LLC   2019 TX-SEC $5,000
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
Lombard Advisers, Inc.   2019 VA-SEC $45,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Hartquist & Noblet, LLC   2019 VA-SEC $53,220
Moonlighting, Inc.   2019 VA-SEC $7,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Harvest Financial Group, LLC   2019 VA-SEC $7,500
World Trend Financial Planning Services, Ltd   2019 VA-SEC $40,000
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Slagel Investment Management   2019 VA-SEC $7,500
Lionsgate Investments, Incorporated   2019 VA-SEC $285,786
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Global Mining and Mint Corporation   2019 VT-FIN $125,000
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Retirement Base Camp   2019 WA-FIN $10,000
Urban Traffic   2019 WA-FIN $35,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Franchise Equity Group, Inc. and Franchise Equity Consortium   2019 WA-FIN $73,643
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
WebRotator, Inc.   2019 WA-FIN $65,000
New Wave Innovations Ltd.   2019 WA-FIN $12,500
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
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
Credit Karma, Inc.   2018 SEC $160,000
Valor Capital Asset Management, LLC   2018 SEC $715,871
Financial Fiduciaries, LLC   2018 SEC $40,000
Equitystar Capital Management, LLC   2018 SEC $2,890,518
Dynamic Intelligence, Inc.   2018 SEC $228,552
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Americafirst Capital Management, LLC   2018 SEC $50,000
Gemini Fund Services, LLC   2018 SEC $400,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
LKL Investment Counsel LLC   2018 SEC $100,000
AMP Global Clearing LLC   2018 CFTC $100,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
UBS AG UBS financial services 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group financial services 2018 SEC $14,000,000
Edwin Shaw LLC   2018 SEC $544,744
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
Dedicated Sound and Audio, Inc.   2018 SEC $250,000
Choice Equity   2018 SEC $2,430,850
Southridge Capital Management LLC and Southridge Advisors LLC   2018 SEC $7,864,064
Williams Advisory Group, LLC   2018 CFTC $19,450,034
Maverick International, Inc.   2018 CFTC $8,605,274
Capital Cove Bancorp LLC   2018 SEC $1,829,868
PNC Investments LLC   2018 SEC $7,307,770
Securities America Advisors Inc.   2018 SEC $5,828,448
Geneos Wealth Management Inc.   2018 SEC $1,808,121
CSIR Group, LLC   2018 SEC $17,142
Verto Capital Management LLC   2018 SEC $620,594
Electronic Transaction Clearing Inc.   2018 SEC $80,000
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.