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
Fidelity Brokerage Services LLC Fidelity Investments financial services 2011 IN-SEC $7,500
National Securities Corp.   2013 IN-SEC $7,500
Basin Oil and Gas Corp.   2004 KY-FIN $7,500
Deak Reynolds Co.   2014 MD-SEC $7,500
Redrhino, Inc.   2016 MD-SEC $7,500
Freedom Wealth Advisors, LLC   2017 ME-SEC $7,500
Silacon Corp.   2012 MN-FIN $7,500
Feltl and Company   2012 MN-FIN $7,500
Novak & Powell Financial Services, Inc.   2014 MO-SEC $7,500
Lerona Impex SA   2016 MO-SEC $7,500
Harmony Health Care Institute, Inc   2015 NH-BSR $7,500
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
GunnAllen Financial Inc.   2008 OK-SEC $7,500
Lloyds Capital Group LLC   2011 OK-SEC $7,500
The Rhodes Company   2000 OR-FIN $7,500
Green Rush Consulting LLC   2016 OR-FIN $7,500
LVG Holding #1255 LLC   2014 PA-BKG $7,500
Investors Capital Corp.   2016 PA-BKG $7,500
Vasari Energy Inc.   2017 PA-BKG $7,500
Great Nation Financial Corporation   2012 SC-SEC $7,500
STG Investors LLC   2015 SC-SEC $7,500
Terra Nova Trading LLC   2000 TN-SEC $7,500
Burke, Lawton, Brewer & Burke   2000 TX-SEC $7,500
Select Asset Management LLC   2008 TX-SEC $7,500
Global Asset Management Group Inc.   2019 TX-SEC $7,500
MIDATLANTIC IRA, LLC   2014 VA-SEC $7,500
Megadance USA Corp   2017 VA-SEC $7,500
WINGS TO GO, INC.   2018 VA-SEC $7,500
Harvest Financial Group, LLC   2019 VA-SEC $7,500
Slagel Investment Management   2019 VA-SEC $7,500
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC   2013 WA-FIN $7,500
Brogan Group Investment Advisors, LLC   2020 PA-BKG $7,500
Full_Tilton Ventures, LLC   2020 WA-SEC $7,500
Rhoads Lucca Capital Management   2013 IL-SEC $7,585
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
Millennium Group of New York, LLC   2001 SEC $7,602
CAPITAL BROKERAGE CORPORATION   2000 VA-SEC $7,644
Comfort Dental Group, Inc.   2012 WA-FIN $7,688
FETCH! PET CARE INC.   2011 VA-SEC $7,700
Vision Technologies, Inc.   2014 AR-SEC $8,000
QVG, LLC   2019 AR-SEC $8,000
Global Security Management Association Incorporation   2001 DE-SEC $8,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
Pocketinns, Inc.   2018 IL-SEC $8,000
Fuhrmann Capital LLC   2010 IN-SEC $8,000
American Trust Investment Services, Inc.   2011 IN-SEC $8,000
Financial Concepts, Inc.   2005 MD-SEC $8,000
Delaware Distributors, L.P.   2009 MD-SEC $8,000
VC Direct Solutions   2013 ME-SEC $8,000
Eastern Energy Corp.   2003 MN-FIN $8,000
Cornerstone Ministries Investments, Inc.   2005 MN-FIN $8,000
Insight Investment Advisers LLC   2018 MO-SEC $8,000
SameDay Security, Inc.   2016 MS-SEC $8,000
American Capital Corporation   2002 ND-SEC $8,000
Huntleigh Securities Corporation   2004 ND-SEC $8,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2006 ND-SEC $8,000
Towle Farm Mortgage Investors, LLC   2018 NH-BSR $8,000
SK Group Inc.   2013 PA-BKG $8,000
Lirio LLC   2020 TN-SEC $8,000
Allied Energy Group et al.   2004 TX-SEC $8,000
First Western Securities Inc.   2007 TX-SEC $8,000
Provident Capital Management Inc.   2017 TX-SEC $8,000
BELLACINO'S, INC.   2005 VA-SEC $8,000
WINDOW WORLD, INC.   2012 VA-SEC $8,000
Sugar Shack Donuts, LLC   2017 VA-SEC $8,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Master Networks, LLC   2020 VA-SEC $8,000
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.   2015 WA-FIN $8,000
IHS Herold Inc.   2012 CT-SEC $8,050
Canady Holdings, Inc.   2006 MO-SEC $8,267
TEXAS BAR-B-Q FACTORY, ET AL.   2009 VA-SEC $8,300
Wells Fargo Advisors, LLC Wells Fargo financial services 2010 IN-SEC $8,495
Summit Brokerage Services, Inc.   2013 AR-SEC $8,500
Columbia Funds Series Trust   2017 CT-SEC $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2013 IN-SEC $8,500
Richards, Merrill & Peterson, Inc.   2015 NE-DBF $8,500
First Kentucky Securities Corporation   2016 NE-DBF $8,500
Liberty Partners Financial Services, Inc.   2019 NH-BSR $8,500
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
TBOC, LLC   2012 WA-FIN $8,500
AMPAK ENERGY COMPANY   2002 VA-SEC $8,768
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
My Social Income, Inc.   2010 IN-SEC $8,938
TPEG Securities, LLC   2020 CT-SEC $8,950
Weldon LLC   2013 AZ-SEC $9,000
The Social Equity Group, Inc.   2004 CA-DBO $9,000
ProEquities, Inc. Dai-ichi Life financial services 2010 IN-SEC $9,000
Saturn Capital Management, LLC   2011 IN-SEC $9,000
Grabill Bank   2011 IN-SEC $9,000
Window World, Inc.   2013 IN-SEC $9,000
Spar Cove Associates, Inc.   2015 ME-SEC $9,000
ShareValue, Inc.   2009 MO-SEC $9,000
Brookstreet Securities Corporation Inc.   2005 OR-FIN $9,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Titan Wealth Management LLC   2007 TX-SEC $9,000
Legacy Harbor   2007 TX-SEC $9,000
FIREHOUSE RESTAURANT ET AL.   2005 VA-SEC $9,000
CAPITAL BUSINESS CONSULTANTS LLC   2013 VA-SEC $9,000
Berkshire Resources LLC and Berkshire (4OL) LLP   2007 WA-FIN $9,000
Third Eye Systems, LLC   2001 WA-FIN $9,000
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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.