Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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
Elite Group Financial, LLC   2016 IL-SEC $5,000
Beard Financial Services, Inc.   2016 IL-SEC $5,000
Resources Planning Group, Inc.   2018 IL-SEC $5,000
Aggressive Lending Co.   2019 IL-SEC $5,000
Swift Excelsior Investments, Inc.   2009 IN-SEC $5,000
Christian Service Foundation, Inc.   2010 IN-SEC $5,000
Global Wealth Investments, LLC   2011 IN-SEC $5,000
The McCormick Group, LLC   2011 IN-SEC $5,000
Genesis Advisors, LLC   2011 IN-SEC $5,000
Steven W. Songer & Associates, Inc.   2012 IN-SEC $5,000
Twin Rocks Asset Management, Inc.   2013 IN-SEC $5,000
5 Star Investment Group, LLC   2015 IN-SEC $5,000
Kovack Securities Inc.   2015 IN-SEC $5,000
Legacy Practice Management, LLC   2016 IN-SEC $5,000
Blue Crab Partners, LLC   2017 IN-SEC $5,000
RSF Social Investment Fund, Inc.   2017 IN-SEC $5,000
Martin Financial Management, Inc.   2017 IN-SEC $5,000
Legacy Wealth Management   2018 IN-SEC $5,000
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Kingdom Oil, Inc.   2006 KY-FIN $5,000
Berry Resources, Inc.   2007 KY-FIN $5,000
Mammoth Resource Partners, Inc., Mammoth Resource Partners, LLC   2007 KY-FIN $5,000
Money Concepts Capital Corp.   2008 KY-FIN $5,000
East Fork Energy Partners, Inc.   2010 KY-FIN $5,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
Angel Rose Energy, LLC   2012 KY-FIN $5,000
M Holdings Securities, Inc.   2018 KY-FIN $5,000
Euclid Systems Corp.   2004 MD-SEC $5,000
Quizno's Franchising LLC and Quizno's Franchising II LLC   2006 MD-SEC $5,000
JHJ Funding, LLC   2009 MD-SEC $5,000
Money Management Advisory, Inc.   2010 MD-SEC $5,000
AFC Asset Management Services, Inc.   2010 MD-SEC $5,000
Dominion Partners Worldwide, LLC   2010 MD-SEC $5,000
Vocelli, LLC   2013 MD-SEC $5,000
First Command Financial Planning, Inc.   2013 MD-SEC $5,000
1-800-Flowers.com Franchise Co., Inc.   2014 MD-SEC $5,000
Bambu Desserts and Drinks, Inc.   2016 MD-SEC $5,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Caffebene, Inc.   2018 MD-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
Tech Financial Group   2014 ME-SEC $5,000
SF Investments, Inc.   2017 ME-SEC $5,000
Option Mint   2018 ME-SEC $5,000
Kensington I.P. Limited   2018 ME-SEC $5,000
Salem Advisory Group LLC   2018 ME-SEC $5,000
Real Estate Man LLC   2018 ME-SEC $5,000
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
Rein Construction, LLC   2015 MI-SEC $5,000
Wedgewood Properties, LLC   2016 MI-SEC $5,000
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Manaia Capital Management, Inc.   2017 MI-SEC $5,000
Legacy Planning & Associates, Inc.   2017 MI-SEC $5,000
Goldeneye Asset Management, LLC   2018 MI-SEC $5,000
Royal Securities Co. and Royal Advisers, LLC   2018 MI-SEC $5,000
ASI Capital, LLC et al.   2020 MI-SEC $5,000
FSC Securities Corp.   2000 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2002 MN-FIN $5,000
CGF Securities, LLC   2003 MN-FIN $5,000
Thomas G. Grace Advisors   2008 MN-FIN $5,000
Cherokee Gas Systems, Inc.   2009 MN-FIN $5,000
ING Financial Partners, Inc. Voya Financial financial services 2012 MN-FIN $5,000
Revelle Resources, Inc.   2012 MN-FIN $5,000
Strive Financial Group LLC and Wealth Security Firm LLC   2013 MN-FIN $5,000
Life Organic Holdings, Inc.   2017 MN-FIN $5,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
American Blast Systems, Inc.   2017 MN-FIN $5,000
Vertical Securities, LLC and Vertical Group, LLC   2005 MO-SEC $5,000
R.M. Duncan Securities, Inc.   2005 MO-SEC $5,000
Easterday Exploration, Inc.   2006 MO-SEC $5,000
Omni Media & Entertainment, Inc.   2006 MO-SEC $5,000
Robert Olsen, P.C.   2007 MO-SEC $5,000
Strand, Atkinson, Williams & York, Inc.   2007 MO-SEC $5,000
Aisle 411, Inc.   2009 MO-SEC $5,000
Boulder Wealth Management, LLC   2010 MO-SEC $5,000
MFA Incorporated   2011 MO-SEC $5,000
Capital Management Services, Inc.   2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2011 MO-SEC $5,000
Guidepost Financial Limited Liability Company   2011 MO-SEC $5,000
Blackbay Capital Advisors   2012 MO-SEC $5,000
Valuepoint Partners, Inc.   2012 MO-SEC $5,000
WealthCare, LLC   2016 MO-SEC $5,000
Personal Financial Group   2017 MO-SEC $5,000
Williamson Poultry Farms, Inc.   2002 MS-SEC $5,000
American Wealth Management, Inc.   2017 MS-SEC $5,000
MDM Energy   2007 MT-SEC $5,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
Rothschild Investment Corp.   2008 MT-SEC $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2010 MT-SEC $5,000
Loveless Wealth management, LLC   2011 MT-SEC $5,000
Metlife Investors USA Insurance Co MetLife financial services 2012 MT-SEC $5,000
Delano & Morgenroth Investment Advisors, LLC   2013 MT-SEC $5,000
Close to My Heart, Inc.   2014 MT-SEC $5,000
Kannaway, LLC   2014 MT-SEC $5,000
Seacret Direct, LLC   2014 MT-SEC $5,000
Nutrie, LLC   2014 MT-SEC $5,000
Lawson Financial Corp.   2015 MT-SEC $5,000
Halen Capital   2017 MT-SEC $5,000
The Source   2020 NC-SEC $5,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
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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.