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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 Year Agency Penalty Amountsort icon
First Securities USA, Inc.   2000 MN-FIN $6,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
S3, Inc.   2008 MN-FIN $6,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Cooper Financial Solutions, LLC   2014 MO-SEC $6,000
Heartland Capital Advisors, L.C.   2016 MO-SEC $6,000
Red Oak Compliance Solutions, LLC   2017 MO-SEC $6,000
Industrial Realty Development, LLC   2017 MO-SEC $6,000
Capital-E Advisors, LLC   2019 MO-SEC $6,000
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
Great Circle Financial   2013 OR-FIN $6,000
Faith Based Investor LLC   2011 SC-SEC $6,000
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Miller Equity Capital Advisors   2007 TX-SEC $6,000
DIGITAL BROADCAST CORPORATION   2006 VA-SEC $6,000
CHILDREN OF AMERICA, INC.   2007 VA-SEC $6,000
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
BROOKLYN WATER BAGEL FRANCHISE   2013 VA-SEC $6,000
MULLINS INVESTMENT SERVICES   2014 VA-SEC $6,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Reye Partners Asset Management, LLC   2020 VA-SEC $6,000
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Gigapix Studios, Inc.   2012 WA-FIN $6,000
Clairmont Capitol, Inc.   2002 WA-FIN $6,000
Woodstock Securities, Ltd.   2001 WA-FIN $6,000
Solium Financial Services LLC Morgan Stanley financial services 2020 MS-SEC $6,000
Tropical Racing, Inc.   2019 CO-SEC $6,049
InvestIN Securities Inc.   2004 TN-SEC $6,094
Pearson and Associates, LLC   2018 CT-SEC $6,110
Herzog Financial Group, LLC   2019 IL-SEC $6,150
Northwest Financial Advisors, Inc.   2015 AK-DBS $6,250
Questar Capital Corp.   2009 KY-FIN $6,250
Research Capital, LLC   2003 SEC $6,337
JRS Investments and Wealth Preservation, LLC   2015 WA-FIN $6,346
Vlad Investments, LLC   2011 WA-FIN $6,350
St. Bernard Financial Services, Inc.   2010 AR-SEC $6,500
RSC Adventures, LLC   2013 AZ-SEC $6,500
Stirling Capital Management   2014 CA-DFPI $6,500
Cambridge Investment Research, Inc.   2012 MS-SEC $6,500
R.M. Neilio & Associates Fiscal Advisors   2015 NH-BSR $6,500
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
EJZ Investments, LLC   2014 WA-FIN $6,500
Ra Ghala Corporation, AuJeune Corporation   2013 WA-FIN $6,500
Statewide Escrow   2003 WA-FIN $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley financial services 2020 RI-FIN $6,500
Kinetics Mutual Funds Inc.   2002 NE-DBF $6,547
Peters Financial Planning Corp.   2009 MD-SEC $6,700
Monitor Capital, LLC   2020 CT-SEC $6,720
Western Realty Investments LLC   2014 NH-BSR $6,750
Financial America Securities, Inc.   2013 MT-SEC $6,769
Modern Investments LLC   2012 TN-SEC $6,890
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Caldwell Sutter Capital Inc.   2020 ME-SEC $6,936
NobelTrading.com   2010 MT-SEC $6,943
Newman Energy Corp.   2008 AL-SEC $7,000
Bluepac Management LLC   2012 AL-SEC $7,000
Lewis & Clark Outdoors, Inc.   2011 AR-SEC $7,000
NSM Securities, Inc.   2013 AR-SEC $7,000
Annett & Associates   2020 CO-SEC $7,000
Wynn Investments LLC   2020 FL-OFR $7,000
Littlefield Asset Management, Inc.   2013 GA-SEC $7,000
JT Financial Advisers, LLC   2009 IL-SEC $7,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
Ogan Financial Group, Inc. dba True Wealth Management   2015 MD-SEC $7,000
CPFS, Inc. and Pinnacle Support Systems, Inc.   2006 ME-SEC $7,000
First Montauk Securities Corporation   2002 ND-SEC $7,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
BIO-SOLUTIONS FRANCHISE CORP.   2003 VA-SEC $7,000
DAILY GRIND OF WINCHESTER   2006 VA-SEC $7,000
INVESTOLOGY, INC.   2009 VA-SEC $7,000
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
911 RESTORATION FRANCHISE, INC   2015 VA-SEC $7,000
Moonlighting, Inc.   2019 VA-SEC $7,000
My Choice Hair, LLC   2020 VA-SEC $7,000
Tradeology.com, Inc.   2010 WA-FIN $7,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
NETTALON SECURITY SYSTEMS INC   2009 VA-SEC $7,200
Tidewell DeWitt Investment Services, LLC   2007 AL-SEC $7,262
Mackrow Asset Management Group and Runnstarr Asset Management Group   2018 MO-SEC $7,372
Newbridge Securities Corp.   2016 KY-FIN $7,476
3C Advisors & Associates, Inc.   2016 SEC $7,500
Town Residential   2015 NY-AG $7,500
Gulftex Operating, Inc.   2007 AL-SEC $7,500
BCL, LLC and Sanctus Partners Limited Partnership   2012 AL-SEC $7,500
Allied Energy, Inc.   2015 AR-SEC $7,500
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Trademark INT PTT AB   2020 CA-DFPI $7,500
ICG Financial, LLC   2007 CT-SEC $7,500
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
Laidlaw & Company (UK) Ltd.   2012 CT-SEC $7,500
Obsidian Financial Group, LLC   2013 CT-SEC $7,500
Fundraising Co-Op, Inc.   2013 CT-SEC $7,500
Southridge Real Estate Partners L.P. and Ridgebury Partners, LLC   2015 CT-SEC $7,500
Bridgewater Communications Group LLC, The Exchange, LLC   2016 CT-SEC $7,500
S P Consulting, LLC   2018 CT-SEC $7,500
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.