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 Parent Parent Major Industry Year Agency Penalty Amountsort icon
Youngevity International, Inc.   2016 MT-SEC $10,000
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Assemblies of God Loan Fund   2005 ND-SEC $10,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
Recycled Asphalt Shingle Technology LLC   2013 NH-BSR $10,000
J.D. Nicholas & Associates   2015 NH-BSR $10,000
Flagship Harbor Advisors, LLC   2018 NH-BSR $10,000
ACCA Enterprises LLC   2017 NM-SEC $10,000
Cherokee Energy Company LLC   2003 OK-SEC $10,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. financial services 2008 OK-SEC $10,000
The O.N. Equity Sales Company   2012 OK-SEC $10,000
Premier Capital LLC   2013 OK-SEC $10,000
LeMans Portfolio Design LLC   2019 OK-SEC $10,000
T.S. Phillips Investment Inc.   2019 OK-SEC $10,000
San Clemente Securities   2000 OR-FIN $10,000
U.S. Securities Intl. Corp.   2002 OR-FIN $10,000
Safe Systems, Inc.   2012 OR-FIN $10,000
Genesis Holdings Group, Inc. and Phoenix Development Group, Inc.   2012 OR-FIN $10,000
Philippine Gold Importation Venture   2012 OR-FIN $10,000
Grace Financial Group, LLC   2014 OR-FIN $10,000
Nativeone Institutional Trading, LLC   2014 OR-FIN $10,000
Redwine & Company, Inc.   2014 OR-FIN $10,000
Invest Northwest, L.L.C.   2015 OR-FIN $10,000
Comprehensive Capital Management Inc.   2013 PA-BKG $10,000
Quattro Advisors LLC   2013 PA-BKG $10,000
EPG Advisory LLC   2013 PA-BKG $10,000
Montchanin Asset Management LLC   2014 PA-BKG $10,000
IBN Financial Services Inc.   2014 PA-BKG $10,000
Wall Private Wealth LLC   2017 PA-BKG $10,000
Iron Will Advisory Group   2017 PA-BKG $10,000
MidAmerica Financial Services Inc.   2015 PA-BKG $10,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 PA-BKG $10,000
PMN Inc. dba Portfolio Management Network Inc.   2018 PA-BKG $10,000
Kairos Capital Advisors LLC   2018 PA-BKG $10,000
The McMahon Team LLC   2019 PA-BKG $10,000
Barrett & Co.   2015 RI-FIN $10,000
Pinnacle Management Group LLC   2011 SC-SEC $10,000
PDP Management LP   2011 SC-SEC $10,000
Benchmark Capital Investment, LLC   2013 SC-SEC $10,000
WR&A Financial Services LLC   2015 SC-SEC $10,000
Sonos Capital Advisors, LLC   2015 SC-SEC $10,000
Investment Advisory Center Inc.   2015 SC-SEC $10,000
Drummond & Associates Financial Services LLC   2015 SC-SEC $10,000
Boardroom Private Investment Group   2016 SC-SEC $10,000
KPM Financial LLC   2017 SC-SEC $10,000
PowerOne Corporation   2018 SC-SEC $10,000
Wesleyan Investment Foundation Inc.   2018 SD-INS $10,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
Westminster Securities Corporation   2000 TN-SEC $10,000
Goldis Financial Group Inc.   2001 TN-SEC $10,000
MONY Securities Corporation AXA financial services 2003 TN-SEC $10,000
Continental Broker-Dealer Corp.   2004 TN-SEC $10,000
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
The Williams Financial Group Inc.   2000 TX-SEC $10,000
Lone Star Securities Inc.   2003 TX-SEC $10,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
FlexVest Securities Group Inc.   2005 TX-SEC $10,000
Kaizen Management LP   2005 TX-SEC $10,000
MDK Financial Group Inc.   2006 TX-SEC $10,000
Linsco/Private Ledger Corp.   2006 TX-SEC $10,000
Windward Partners LLC   2007 TX-SEC $10,000
IMS Securities Inc.   2008 TX-SEC $10,000
Calandro Advisory Services Inc.   2009 TX-SEC $10,000
Investors Capital Corp.   2009 TX-SEC $10,000
Caprock Securities Inc.   2009 TX-SEC $10,000
808 Investments LLC et al.   2009 TX-SEC $10,000
Lorintine Capital LP   2020 TX-SEC $10,000
FIDELITY ASSURANCE ASSOCIATES   2005 VA-SEC $10,000
SUNAMERICA SECURITIES, INC.   2006 VA-SEC $10,000
COMTEL, INC.   2007 VA-SEC $10,000
McKean County 3 Well, LLP,   2008 VA-SEC $10,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers   2008 VA-SEC $10,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE   2008 VA-SEC $10,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
J.W. KORTH & COMPANY, LP   2015 VA-SEC $10,000
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
Retirement Base Camp   2019 WA-FIN $10,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Reign Capital Management, LLC   2017 WA-FIN $10,000
Northwest Crest, LLC and NW Crest Capital, LLC   2017 WA-FIN $10,000
Your Local Market, LLC   2014 WA-FIN $10,000
Cirrus Partners, Inc.   2014 WA-FIN $10,000
MRG International, Inc.   2014 WA-FIN $10,000
SPF, INC   2013 WA-FIN $10,000
Dinotech Corp.   2013 WA-FIN $10,000
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
Better World Materials Inc.   2012 WA-FIN $10,000
L&L International Holdings, Inc.   2009 WA-FIN $10,000
Valkyrie, Inc.   2009 WA-FIN $10,000
Pine Canyon Enterprises, Inc.   2007 WA-FIN $10,000
Mana, LLC   2005 WA-FIN $10,000
U.S. Recycling Corp. and Metals Recycling Depot, Inc.   2001 WA-FIN $10,000
Selway Asset Management Inc.   2020 ID-SEC $10,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Infinex Investments, Inc.   2007 IL-SEC $10,100
Aztec Capital, LLC   2013 CA-DBO $10,125
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Capital Funding Management, Inc.   2007 MO-SEC $10,165
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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.