Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
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.
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Company Parentsort icon Parent Major Industry Year Agency Penalty Amount
Executive Monetary Management, LLC   2016 SEC $100,000
W.L. Lyons, LLC   2016 SEC $200,000
HT Partners LLC   2016 SEC $100,000
Banyan Partners, LLC   2016 SEC $200,000
Prospera Financial Services, Inc.   2016 SEC $100,000
Schneider Downs Wealth Management Advisors, LP   2016 SEC $100,000
Shamrock Asset Management LLC   2016 SEC $200,000
Delaney Equity Group LLC   2016 SEC $20,000
Fortius Financial Advisors, LLC   2016 SEC $94,070
Concert Global Group Limited and Concert Wealth Management, Inc.   2016 SEC $120,000
Washington Wealth Management, LLC   2016 SEC $50,000
Advantage Investment Management, LLC   2016 SEC $60,000
Riverfront Investment Group, LLC   2016 SEC $300,000
Secondmarket, Inc.   2016 SEC $53,755
WFG Advisors, L.P.   2016 SEC $100,000
Ross, Sinclaire & Associates, LLC   2016 SEC $903,574
Simpson Hughes Financial, LLC   2016 SEC $287,119
Feltl & Company, Inc.   2016 SEC $183,128
Apex Fund Services (US), Inc.   2016 SEC $171,836
2 West, Inc., et al.   2016 SEC $2,025,179
School Business Consulting, Inc   2016 SEC $30,000
Keygent LLC   2016 SEC $100,000
American Life, Inc.   2016 SEC $1,000,000
Blackstreet Capital Management, LLC   2016 SEC $2,622,737
Federated Global Investment Management Corp.   2016 SEC $1,500,000
Biscayne Capital International, LLC   2016 SEC $158,087
American Registrar & Transfer Company   2016 SEC $25,649
MaloneBailey, LL   2016 SEC $100,000
Santos, Postal & Company, P.C.   2016 SEC $29,076
Innovative Business Solutions, LLC   2016 SEC $357,986
Craig Scott Capital, LLC   2016 SEC $100,000
Thakkar CPA, PLLC   2016 SEC $359,487
Cambridge Investment Research Advisors, Inc.   2016 SEC $225,000
Canaccord Genuity Inc.   2016 SEC $550,198
Central States Capital Markets, LLC   2016 SEC $374,827
First Southwest Company, LLC   2016 SEC $222,400
Marco Investment Management, LLC   2016 SEC $232,345
Cantella & Co.   2016 SEC $100,000
IBC Funds, LLC   2016 SEC $2,482,850
United Bankers' Bank   2016 SEC $160,000
Roosevelt & Cross, Incorporated   2016 SEC $250,000
Municipal Capital Markets Group, Inc.   2016 SEC $60,000
Janney Montgomery Scott LLC?   2016 SEC $500,000
D.A. Davidson & Co.   2016 SEC $500,000
Boenning & Scattergood, Inc.   2016 SEC $250,000
First Midstate Incorporated   2016 SEC $100,000
ARRG Corp.   2016 SEC $410,753
Equinox Fund Management, LLC   2016 SEC $400,000
Everhart Financial Group, Inc.   2016 SEC $305,407
Canarsie Capital, LLC   2015 SEC $3,494,938
DKM Certified Public Accountants, Inc.   2015 SEC $60,043
Messineo & Co., CPAs, LLC   2015 SEC $25,000
Bander Law Firm, PLLC   2015 SEC $273,184
Azarmehr Law Group   2015 SEC $57,965
Alpha Fiduciary, Inc.   2015 SEC $250,000
Cranshire Capital Advisors, LLC   2015 SEC $250,000
JH Partners, LLC   2015 SEC $225,000
Virtus Investment Advisers, Inc.   2015 SEC $16,500,000
Metis Wealth Advisors, LLC   2015 SEC $71,489
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC   2015 SEC $100,000
Retirement Investment Advisors, Inc. and Research Holdings, LLC   2015 SEC $219,243
Welhouse & Associates, Inc.   2015 SEC $769,059
Latour Trading LLC   2015 SEC $8,053,439
Duncan-Williams, Inc   2015 SEC $250,000
Crews & Associates, Inc.   2015 SEC $250,000
Country Club Bank   2015 SEC $140,000
Commerce Bank Capital Markets Group   2015 SEC $40,000
NW Capital Markets Inc.   2015 SEC $100,000
Northland Securities, Inc.   2015 SEC $220,000
Mesirow Financial, Inc.   2015 SEC $100,000
Joe Jolly & Co., Inc.   2015 SEC $100,000
J.J.B. Hilliard and W.L. Lyons, LLC   2015 SEC $420,000
The Frazer Lanier Company, Incorporated   2015 SEC $100,000
Estrada Hinojosa & Company, Inc.   2015 SEC $40,000
Ross, Sinclaire & Associates, LLC   2015 SEC $220,000
Prager & Co., LLC   2015 SEC $100,000
Hyperdynamics Corporation   2015 SEC $75,000
G Asset Management, LLC   2015 SEC $175,000
R.T. Jones Capital Equities Management, Inc.   2015 SEC $75,000
Ditto Holdings, Inc.   2015 SEC $50,000
Mackensen & Company, Inc.   2015 SEC $100,000
Success Trade, Inc. and Success Trade Securities, Inc.   2015 SEC $26,158,214
Signator Investors, Inc.   2015 SEC $450,000
Acadia Asset Management, LLC   2015 SEC $354,115
Tri-Star Advisors, Inc.   2015 SEC $150,000
Parallax Investments, LLC   2015 SEC $200,000
Gold Mountain Management, LLC   2015 SEC $200,000
Montgomery Street Research, LLC   2015 SEC $342,718
Dion Money Management, LLC   2015 SEC $50,000
Wisteria Global, Inc.   2015 SEC $1,138,935
Cotterman-Wilson CPAs, Inc   2015 SEC $36,897
Pekin Singer Strauss Asset Management Inc   2015 SEC $150,000
Commonwealth Capital Management, LLC, et al.   2015 SEC $50,000
SFX Financial Advisory Management Enterprises, Inc.   2015 SEC $150,000
Trust & Investment Advisors, Inc.   2015 SEC $50,000
Alpha Titans LLC   2015 SEC $698,450
Houston American Energy Corp.   2015 SEC $400,000
StateTrust Investments, Inc.   2015 SEC $90,000
Kornitzer Capital Management, Inc.   2015 SEC $50,000
Global Fixed Income, LLC, et al.   2015 SEC $3,385,989
Keypoint Capital Management, LLC   2015 SEC $77,250
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(*): 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.