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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
Third Eye Systems, LLC   2001 WA-FIN $9,000
Porterfield Investments, Inc. et al.   2006 MO-SEC $9,020
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
Flatlander Industries, Inc.   2006 IL-SEC $9,135
Allen Company of Florida, Inc.   2006 IL-SEC $9,250
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
Dixon Insurance Agency   2005 TN-SEC $9,268
BIO-FUEL DEVELOPMENT COMPANY   2014 VA-SEC $9,300
SUMMIT WEALTH MANAGEMENT, LLC   2011 VA-SEC $9,350
Wesleyan Investment Foundation, Inc.   2017 IN-SEC $9,500
Andrew Garrett, Inc.   2006 MO-SEC $9,500
GenSafe Plastics, Inc.   2009 MO-SEC $9,500
H. Beck Inc.   2010 TX-SEC $9,500
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
Driver Opportunity Partners I, LP and Driver Management Company, LLC   2020 MD-FIN $9,500
Larada Sciences, LLC   2018 WA-FIN $9,725
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Boston Trading Advisors, LLC   2003 CFTC $10,000
Windsor Street Capital, L.P. fka Meyers Associates   2017 SEC $10,000
Wyoming Investment Management Services, LLC   2015 SEC $10,000
Securities Transfer Corporation   2011 SEC $10,000
Lone Star Transfer, Inc.   2002 SEC $10,000
ND Money Management, Inc.   2002 SEC $10,000
RansonCapital Corporation   2002 SEC $10,000
Stan D. Kiefer & Associates   2002 SEC $10,000
United Stock Transfer Inc.   2001 SEC $10,000
Focus Tech Investments, Inc.   2000 SEC $10,000
Adar International   2000 SEC $10,000
Longman & Associates, Inc.   2000 SEC $10,000
Kading Companies, S.A. and Joning Corp.   2000 SEC $10,000
Alpha Tech Stock Transfer Trust   2000 SEC $10,000
Mutual Coin Fund LLC   2019 SEC $10,000
Regal Securities   2010 NJ-AG $10,000
School Services of California, Inc.   2019 SEC $10,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Triton EP, LLC   2006 AL-SEC $10,000
Texas Securities Partners, Inc.   2008 AL-SEC $10,000
Northstar Energy, Inc.   2008 AL-SEC $10,000
WiFiMed Holdings Company, Inc.   2008 AR-SEC $10,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
First Standard Financial Company, LLC   2017 AR-SEC $10,000
Wesleyan Investment   2018 AR-SEC $10,000
Fidelity National Legal Systems, Inc.   2010 AR-SEC $10,000
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
Netgo, Inc. and SDIC Partnership and Camelback, Ltd.   2002 AZ-SEC $10,000
Bella Funding, L.L.C.   2008 AZ-SEC $10,000
Westcap Energy, Inc. dba Westcap Solar   2013 AZ-SEC $10,000
Neoteric Energy, Inc.   2014 AZ-SEC $10,000
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DBO $10,000
Hayes and Associates Accountancy Corp.   2013 CA-DBO $10,000
Artience Capital Management, LLC   2013 CA-DBO $10,000
Highland Capital Group, Inc.   2013 CA-DBO $10,000
Rama Capital Partners, LLC   2016 CA-DBO $10,000
Defensive Portfolio Management Corp.   2017 CA-DBO $10,000
Crawford Capital, LLC   2018 CA-DBO $10,000
Francis Capital Management, LLC   2019 CA-DBO $10,000
Amada Franchise, Inc.   2020 CA-DBO $10,000
Sandlapper Securities, LLC   2013 CO-SEC $10,000
Choice Investment Management, LLC   2016 CO-SEC $10,000
GunnAllen Financial, Inc.   2006 CT-SEC $10,000
Tax Recovery Group, Inc.   2006 CT-SEC $10,000
Bayou Technologies, Inc.   2008 CT-SEC $10,000
JHS Capital Advisors, Inc. fka Pointe Capital, Inc.   2010 CT-SEC $10,000
Grove Electronics, LLC dba Chip Partners LLC   2010 CT-SEC $10,000
Newbridge Securities Corp.   2011 CT-SEC $10,000
Mullaney Management & Trust, LLC   2012 CT-SEC $10,000
RMV Investments, LLC   2013 CT-SEC $10,000
New Heart LLC, Progenesis LLC and Oz III, LLC   2013 CT-SEC $10,000
Syndicated Capital, Inc.   2014 CT-SEC $10,000
P & C Capital Group LLC   2014 CT-SEC $10,000
YoFresh Yogurts Franchising, Inc.   2015 CT-SEC $10,000
Cooper Capital, Inc.   2015 CT-SEC $10,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Moreau Investment Management Co.   2018 CT-SEC $10,000
Allied Energy, Inc. fka Allied Syndications, Inc.   2018 CT-SEC $10,000
SE Ohio Shale & Oriskany Development   2018 CT-SEC $10,000
Prophet Financial Planning, LLC   2019 CT-SEC $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Wall Street Financial Group, Inc.   2001 FL-OFR $10,000
United Securities Alliance, Inc.   2002 FL-OFR $10,000
Insurance and Financial Brokers, Inc.   2002 FL-OFR $10,000
U.S. Investors Group, Inc.   2002 FL-OFR $10,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FL-OFR $10,000
Allen Douglas Securities, Inc.   2004 FL-OFR $10,000
Principia Investment Advisors, LLC   2013 GA-SEC $10,000
KRM Distributors, LLC   2012 HI-SEC $10,000
E-Z Roadside, LLC   2013 HI-SEC $10,000
Prosapia Financial LLC and Prosapia Capital Management LLC   2010 IA-INS $10,000
Fairfield Energy, Inc.   2013 IA-INS $10,000
Amazon Exploration LLC   2013 IA-INS $10,000
Voyager Financial Group, LLC   2013 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2014 IA-INS $10,000
LinkNet, Inc. fka INFOLINK, Inc.   2000 ID-SEC $10,000
Densmore Financial Group, Inc.   2011 ID-SEC $10,000
Primary Enterprises, Inc. dba Low Book Auto Sales   2014 ID-SEC $10,000
Garden State Securities, Inc.   2017 ID-SEC $10,000
Palm Beach Investment Group, Inc.   2003 IL-SEC $10,000
HJM International Trading Ltd.   2004 IL-SEC $10,000
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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.