Violation Tracker

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Violation Tracker Summary for Offense Group

Offense Group: financial offenses
Penalty Total since 2000: $287,268,054,805
Number of Penalty Records: 11,008
Note: The totals here are adjusted to account for the fact that each current 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 Current Parent Companies	Total Penalty $	Number of Records
Bank of America	$41,332,842,096	155
UBS	$27,709,494,893	134
JPMorgan Chase	$27,007,359,167	119
Citigroup	$19,742,743,935	103
Deutsche Bank	$15,634,467,278	66
Goldman Sachs	$13,126,412,841	57
NatWest Group PLC	$12,235,546,857	25
Wells Fargo	$10,735,220,989	127
Morgan Stanley	$9,877,862,956	163
BNP Paribas	$9,164,773,000	10

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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Company	Current Parent	Current Parent Industry	Primary Offense Type	Year	Agency	Penalty Amount
RealizedEquityServices LLC			investor protection violation	2018	WA-FIN	$32,500
VI Capital Management, LLC			investor protection violation	2018	WA-FIN	$12,500
Masters United 12 LLC et al.			investor protection violation	2018	WA-FIN	$5,000
Reign Capital Management, LLC			investor protection violation	2017	WA-FIN	$10,000
Aegis Oil, LLC and Aegis Disposal Systems, LLC			investor protection violation	2017	WA-FIN	$47,500
Oracle Stone Ltd.			investor protection violation	2017	WA-FIN	$32,000
InvestingCI, LLC			investor protection violation	2017	WA-FIN	$12,500
Northwest Crest, LLC and NW Crest Capital, LLC			investor protection violation	2017	WA-FIN	$10,000
Creative Money LLC			investor protection violation	2017	WA-FIN	$15,000
Binary Banc			investor protection violation	2016	WA-FIN	$12,000
MiniHYA Corp.			investor protection violation	2016	WA-FIN	$12,000
Doing Business, Inc.			investor protection violation	2016	WA-FIN	$60,000
Research Money Management, LLC			investor protection violation	2016	WA-FIN	$32,000
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC			investor protection violation	2016	WA-FIN	$30,000
Iverson Genetic Diagnostics, Inc.			investor protection violation	2016	WA-FIN	$70,000
Ameriprise Financial Services, Inc.	Ameriprise Financial	financial services	investor protection violation	2016	WA-FIN	$55,000
Couch Oil & Gas, Inc.			investor protection violation	2016	WA-FIN	$21,500
Katana Capital, LLC			investor protection violation	2016	WA-FIN	$11,000
Southeast Investments, N.C., Inc.			investor protection violation	2016	WA-FIN	$30,000
All Wave Engineering, Inc.			investor protection violation	2016	WA-FIN	$15,000
Dystopia Rising, LLC			investor protection violation	2016	WA-FIN	$12,000
TreeFree Biomass Solutions, Inc.			investor protection violation	2016	WA-FIN	$20,000
TVDeeBee, Inc.			investor protection violation	2015	WA-FIN	$12,500
JRS Investments and Wealth Preservation, LLC			investor protection violation	2015	WA-FIN	$6,346
Leland Energy, Inc. et al.			investor protection violation	2015	WA-FIN	$105,000
Saves, Inc.			investor protection violation	2015	WA-FIN	$5,000
Samson Energy Group, LLC			investor protection violation	2015	WA-FIN	$5,750
Upstream Solutions, LLC			investor protection violation	2015	WA-FIN	$18,000
Moe Investment Management, LLC			investor protection violation	2015	WA-FIN	$21,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC			investor protection violation	2015	WA-FIN	$20,000
Mongolia Holdings, Inc.			investor protection violation	2015	WA-FIN	$12,500
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.			investor protection violation	2015	WA-FIN	$8,000
Hydro Alternative Energy, Inc.			investor protection violation	2015	WA-FIN	$75,000
Gulftex Operating, Inc. and Frenchtown Acres, LLC			investor protection violation	2014	WA-FIN	$17,000
Your Local Market, LLC			investor protection violation	2014	WA-FIN	$10,000
Milestone Life Settlement Fund, LLC et al.			investor protection violation	2014	WA-FIN	$17,000
Ashland Partners L.P.			investor protection violation	2014	WA-FIN	$30,000
Armadillo Energy, Inc.			investor protection violation	2014	WA-FIN	$23,000
Cirrus Partners, Inc.			investor protection violation	2014	WA-FIN	$10,000
MRG International, Inc.			investor protection violation	2014	WA-FIN	$10,000
Adams Financial Concepts, LLC			investor protection violation	2014	WA-FIN	$15,000
Global Asset Research and Recovery			investor protection violation	2014	WA-FIN	$11,000
Pacific West Securities, Inc.			investor protection violation	2014	WA-FIN	$25,000
EJZ Investments, LLC			investor protection violation	2014	WA-FIN	$6,500
New Earth Renewable Energy Inc.			investor protection violation	2013	WA-FIN	$15,000
SPF, INC			investor protection violation	2013	WA-FIN	$10,000
Ra Ghala Corporation, AuJeune Corporation			investor protection violation	2013	WA-FIN	$6,500
Pangean Energy, LLC			investor protection violation	2013	WA-FIN	$12,000
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC			investor protection violation	2013	WA-FIN	$7,500
Blue Chip Focus Fund, LP et al.			investor protection violation	2013	WA-FIN	$30,000
Yofast, LP			investor protection violation	2013	WA-FIN	$15,000
Dinotech Corp.			investor protection violation	2013	WA-FIN	$10,000
Thome Financial Management, LLC			investor protection violation	2012	WA-FIN	$17,500
Dream Dinners, Inc.			investor protection violation	2012	WA-FIN	$12,375
Financial Services International Corp.			investor protection violation	2012	WA-FIN	$40,000
Brunhaver Financial Services, LLC			investor protection violation	2012	WA-FIN	$10,000
Better World Materials Inc.			investor protection violation	2012	WA-FIN	$10,000
Comfort Dental Group, Inc.			investor protection violation	2012	WA-FIN	$7,688
TBOC, LLC			investor protection violation	2012	WA-FIN	$8,500
Horizon Commercial Real Estate Funding, Inc. and Sunshine Inn, Inc.			investor protection violation	2012	WA-FIN	$32,500
Gigapix Studios, Inc.			investor protection violation	2012	WA-FIN	$6,000
BlueRay Technologies, LLC et al.			investor protection violation	2012	WA-FIN	$12,500
T&H Northwest, LLC			investor protection violation	2012	WA-FIN	$22,500
Market4Cast Hedge Fund, LP			investor protection violation	2011	WA-FIN	$11,000
ECO Motor Company, Inc.			investor protection violation	2011	WA-FIN	$15,000
Vlad Investments, LLC			investor protection violation	2011	WA-FIN	$6,350
Texas State Energy Corp.			investor protection violation	2011	WA-FIN	$15,000
Fairfield Energy Inc. et al.			investor protection violation	2011	WA-FIN	$11,500
Tradeology.com, Inc.			investor protection violation	2010	WA-FIN	$7,000
Meridian Mortgage Investors Fund V, LLC et al.			investor protection violation	2010	WA-FIN	$190,000
bVisual, S.A. and bVisual Group, Ltd.			investor protection violation	2010	WA-FIN	$16,000
CS Note Holdco, LLC			investor protection violation	2010	WA-FIN	$25,000
Dorothy of Oz, LLC			investor protection violation	2010	WA-FIN	$12,000
Iron Horse Petroleum, Inc.			investor protection violation	2010	WA-FIN	$11,000
Cherokee Gas Systems, Inc.			investor protection violation	2010	WA-FIN	$11,000
Olympic Coast Investment, Inc.			investor protection violation	2010	WA-FIN	$13,000
Pioneer Property Group, LLC and Queen's Court Building, LLC			investor protection violation	2010	WA-FIN	$5,000
Mike Watson Investments, LLC and Mike Watson Capital, LLC			investor protection violation	2010	WA-FIN	$30,000
Energy Automation Systems, Inc.			investor protection violation	2010	WA-FIN	$5,000
Progressive Energy Partners LLC et al.			investor protection violation	2009	WA-FIN	$51,500
L&L International Holdings, Inc.			investor protection violation	2009	WA-FIN	$10,000
Spellbinder Funding LLC			investor protection violation	2009	WA-FIN	$11,000
Valkyrie, Inc.			investor protection violation	2009	WA-FIN	$10,000
Peruvian Resources Management USA, LLC			investor protection violation	2008	WA-FIN	$39,791
James F. Reitan CFP LLC			investor protection violation	2008	WA-FIN	$5,000
Wortham Oil & Gas Enterprises, LLC			investor protection violation	2008	WA-FIN	$5,000
Wortham Oil & Gas			investor protection violation	2008	WA-FIN	$5,000
WOGE/WOG Ellison Well #1 Joint Venture			investor protection violation	2008	WA-FIN	$5,000
CMHCEH, LLC			investor protection violation	2008	WA-FIN	$5,000
M & W Charitable Foundation et al.			investor protection violation	2008	WA-FIN	$52,000
Chum Chum Game Company			investor protection violation	2007	WA-FIN	$5,000
Pine Canyon Enterprises, Inc.			investor protection violation	2007	WA-FIN	$10,000
Chesterfield Mortgage Investors, Inc.			investor protection violation	2007	WA-FIN	$5,000
Great Plains Financial, LLC			investor protection violation	2007	WA-FIN	$5,000
MCube Petroleum, Inc. et al.			investor protection violation	2007	WA-FIN	$147,505
Berkshire Resources LLC and Berkshire (4OL) LLP			investor protection violation	2007	WA-FIN	$9,000
Northwest Financial Group			investor protection violation	2007	WA-FIN	$13,950
OppenheimerFunds Distributor, Inc.	Invesco	financial services	investor protection violation	2007	WA-FIN	$669,500
Beacon Development Group			investor protection violation	2007	WA-FIN	$35,000
American Fiber Green Products, Inc.			investor protection violation	2008	WA-FIN	$5,000
North American Resource Group, Inc.			investor protection violation	2006	WA-FIN	$38,175