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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
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
Artience Capital Management, LLC   2013 CA-DFPI $10,000
Highland Capital Group, Inc.   2013 CA-DFPI $10,000
Rama Capital Partners, LLC   2016 CA-DFPI $10,000
Defensive Portfolio Management Corp.   2017 CA-DFPI $10,000
Crawford Capital, LLC   2018 CA-DFPI $10,000
Francis Capital Management, LLC   2019 CA-DFPI $10,000
Amada Franchise, Inc.   2020 CA-DFPI $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
Janas Associates   2005 IL-SEC $10,000
Golden Years Planning   2005 IL-SEC $10,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2005 IL-SEC $10,000
Terra Energy Investment Fund 1 L.L.C.   2006 IL-SEC $10,000
Vestreon Funding, L.L.C.   2006 IL-SEC $10,000
Wunderlich Securities, Inc.   2007 IL-SEC $10,000
TradeRight Corp.   2008 IL-SEC $10,000
Alliance Financial Services of Illinois Ltd.   2009 IL-SEC $10,000
Senior Financial Strategies, Inc.   2011 IL-SEC $10,000
Stewart International Consultants, Ltd.   2011 IL-SEC $10,000
Mathews Logistics, LLC   2011 IL-SEC $10,000
City Capital Corp.   2011 IL-SEC $10,000
Clean Sweet Holdings Group, LLC   2011 IL-SEC $10,000
The Matomi Group LLC   2011 IL-SEC $10,000
Matthew Sapaula, Inc.   2011 IL-SEC $10,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 IL-SEC $10,000
IspottedYou.com Inc.   2012 IL-SEC $10,000
Dragon Fire Solutions, Inc.   2012 IL-SEC $10,000
Pinnacle Investment Group, LLC   2012 IL-SEC $10,000
CMG Institutional Trading, LLC   2013 IL-SEC $10,000
E.C.O. Holdings, Corp.   2014 IL-SEC $10,000
ECO Acquisitions, LLC   2014 IL-SEC $10,000
Clayton Collateral Advisors, Inc.   2014 IL-SEC $10,000
Mid America Partners, Inc.   2014 IL-SEC $10,000
ReavillMed LLC   2015 IL-SEC $10,000
StreamOne FS, LLC   2015 IL-SEC $10,000
StreamOne LLC   2015 IL-SEC $10,000
Sunny Investments Brokerage Firm   2015 IL-SEC $10,000
Armared Dragon, Inc.   2015 IL-SEC $10,000
C22 Capital, Inc.   2016 IL-SEC $10,000
Lanier Properties, Inc.   2016 IL-SEC $10,000
WealthBuilders.Name LLC   2019 IL-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2011 IN-SEC $10,000
Trans World Animal Health, LLC   2011 IN-SEC $10,000
First Allied Advisory Services, Inc.   2011 IN-SEC $10,000
Kardia, Inc.   2012 IN-SEC $10,000
Banc De Binary   2013 IN-SEC $10,000
Allied Syndications, Inc. dba Allied Energy Group   2007 KY-FIN $10,000
Multiple One Group, Inc.   2008 KY-FIN $10,000
Voice, Video & Data Services, Inc.   2008 KY-FIN $10,000
IL Bridge Fund, LLC   2011 KY-FIN $10,000
Mann Capital Management, LLC   2018 KY-FIN $10,000
AOV WI FI   2004 MD-SEC $10,000
L.H. Ross & Company, Inc.   2005 MD-SEC $10,000
Damon's Restaurants, Inc.   2007 MD-SEC $10,000
Global Partners Capital   2008 MD-SEC $10,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
CMSU & Associates, LLC and Super Model Portfolio, LLP   2009 MD-SEC $10,000
Cromwell Quality Tools Company, Inc.   2010 MD-SEC $10,000
Tropical Smoothie Franchise Development Corp.   2011 MD-SEC $10,000
Lango, LLC   2012 MD-SEC $10,000
Corporate Property Associates 15, Inc. and W.P. Carey & Co., LLC and Carey Financial, LLC   2012 MD-SEC $10,000
Chesapeake Financial Solutions, LLC   2013 MD-SEC $10,000
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.