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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
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
Six Figure Club   2013 MD-SEC $10,000
Kairos Capital LLC   2015 MD-SEC $10,000
Cabildo Capital, LLC   2019 MD-SEC $10,000
Beauty Supply Institute, LLC   2020 MD-SEC $10,000
Garden State Securities, Inc.   2007 ME-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2010 ME-SEC $10,000
H. Beck, Inc.   2018 ME-SEC $10,000
Traverse Bay Investments Company, Ltd.   2015 MI-SEC $10,000
Flying G Racing   2016 MI-SEC $10,000
PercentPlus A Limited Liability Co.   2016 MI-SEC $10,000
Agape Global Investments Corp.   2016 MI-SEC $10,000
Purshe Kaplan Sterling, Inc.   2017 MI-SEC $10,000
Phase 2 Investment Advisers, LLC   2017 MI-SEC $10,000
University Capital Solutions, LLC   2017 MI-SEC $10,000
Genesis Fund, LLC   2017 MI-SEC $10,000
GenVest VI, LLC   2017 MI-SEC $10,000
Scott Schultz Closed-End Funds, Inc.   2018 MI-SEC $10,000
Percipience, LLC   2018 MI-SEC $10,000
GenVest III, LLC   2018 MI-SEC $10,000
First Nationle Solution, LLC   2018 MI-SEC $10,000
GenVest VII, LLC   2018 MI-SEC $10,000
Independence Capital Co., Inc.   2019 MI-SEC $10,000
Antonelli Financial Advisors, LLC   2019 MI-SEC $10,000
Cannas Capital, LLC   2020 MI-SEC $10,000
SLB Creations, Inc.   2020 MI-SEC $10,000
Mortgage Group III, LLC   2003 MN-FIN $10,000
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
Benchmark Financial Planning, Inc.   2010 MN-FIN $10,000
Ryan Capital Advisors, LLC   2013 MN-FIN $10,000
The Financial Planning Group, Inc.   2013 MN-FIN $10,000
Property Fraud Prevention, LLC   2015 MN-FIN $10,000
Titan Trade Club   2018 MN-FIN $10,000
AlphaQuest Partners LLC   2019 MN-FIN $10,000
Monex Deposit Company et al.   2020 MN-FIN $10,000
Wyoming Financial Securities, Inc.   2005 MO-SEC $10,000
King's Country Music Show   2006 MO-SEC $10,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Guardian Financial Group, LLC   2008 MO-SEC $10,000
Premier Capital Advisors, Inc.   2009 MO-SEC $10,000
Trinity Capital Management, LLC   2014 MO-SEC $10,000
Quantum Business Golf International, Inc. et al.   2016 MO-SEC $10,000
Assemblies of God Loan Fund   2017 MO-SEC $10,000
MTW Investment Financing, LLC   2005 MS-SEC $10,000
Mowdy Financial, LLC   2006 MS-SEC $10,000
Glacier Wealth, Inc.   2015 MT-SEC $10,000
Kairos Properties LLC   2016 MT-SEC $10,000
Youngevity International, Inc.   2016 MT-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.