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.
| Company | Current Parent | Current Parent Industry | Primary Offense Type  | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|---|
| Rock and Roll Cycles, LLC and Cycle For Life, Inc. | investor protection violation | 2020 | SEC | $236,314 | ||
| Hologram USA Networks Inc. | investor protection violation | 2020 | SEC | $22,419 | ||
| Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. | investor protection violation | 2020 | SEC | $1,031,270 | ||
| ICOBox | investor protection violation | 2020 | SEC | $16,059,428 | ||
| Securian Financial Services, Inc. | Securian Financial | financial services | investor protection violation | 2020 | AK-DBS | $10,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | AK-DBS | $10,527 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | AL-SEC | $18,874 |
| Internet Escrow Services, Inc. | investor protection violation | 2020 | AL-SEC | $10,422 | ||
| The Fortitude Foundation et al. | investor protection violation | 2020 | AZ-CC | $1,386,024 | ||
| Priority Wealth Advisors, Inc. | investor protection violation | 2020 | AZ-CC | $5,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CA-DFPI | $52,047 |
| Piara Pizza, LLC | investor protection violation | 2020 | CA-DFPI | $35,000 | ||
| Trademark INT PTT AB | investor protection violation | 2020 | CA-DFPI | $7,500 | ||
| Amada Franchise, Inc. | investor protection violation | 2020 | CA-DFPI | $10,000 | ||
| Annett & Associates | investor protection violation | 2020 | CO-SEC | $7,000 | ||
| North American Drilling Corporation | investor protection violation | 2020 | CT-SEC | $100,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | CT-SEC | $51,136 |
| Native American Energy Group, Inc. | investor protection violation | 2020 | CT-SEC | $100,000 | ||
| Great Heritage Investments, LLC | investor protection violation | 2020 | CT-SEC | $20,000 | ||
| ARO Equity, LLC | investor protection violation | 2020 | CT-SEC | $300,000 | ||
| Wynn Investments LLC | investor protection violation | 2020 | FL-OFR | $7,000 | ||
| Power Supplies & Equipment Ltd. | investor protection violation | 2020 | GA-SEC | $5,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | GA-SEC | $22,104 |
| Solium Financial Services, LLC | Morgan Stanley | financial services | investor protection violation | 2020 | IA-INS | $10,147 |
| Brooke's Ventures LLC | investor protection violation | 2020 | ID-SEC | $20,000 | ||
| Pinnacle Plus Capital LLC | investor protection violation | 2020 | ID-SEC | $18,423 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | IN-SEC | $15,575 |
| Sunset Capital Assets, Inc. | investor protection violation | 2020 | KY-FIN | $45,000 | ||
| J.P. Morgan Securities LLC | JPMorgan Chase | financial services | investor protection violation | 2020 | KY-FIN | $325,000 |
| FWG Investments LLC | investor protection violation | 2020 | KY-FIN | $50,000 | ||
| Game Designs LLC | investor protection violation | 2020 | KY-FIN | $60,000 | ||
| Beauty Supply Institute, LLC | investor protection violation | 2020 | MD-SEC | $10,000 | ||
| Solium Financial Services, LLC | Morgan Stanley | financial services | investor protection violation | 2020 | ME-SEC | $5,000 |
| ASI Capital, LLC et al. | investor protection violation | 2020 | MI-SEC | $5,000 | ||
| Severn Funding & Investment Ltd. | investor protection violation | 2020 | MI-SEC | $20,000 | ||
| Heartland Production and Recovery, LLC | investor protection violation | 2020 | MI-SEC | $20,000 | ||
| LA Developers, LLC | investor protection violation | 2020 | MI-SEC | $30,000 | ||
| Raymond James & Associates, Inc. | Raymond James Financial | financial services | investor protection violation | 2020 | MI-SEC | $50,000 |
| Cannas Capital, LLC | investor protection violation | 2020 | MI-SEC | $10,000 | ||
| BC Holdings and Investments, LLC | investor protection violation | 2020 | MI-SEC | $20,000 | ||
| Mintage Mining, LLC | investor protection violation | 2020 | MI-SEC | $20,000 | ||
| SLB Creations, Inc. | investor protection violation | 2020 | MI-SEC | $10,000 | ||
| Schuster Financial LLC | investor protection violation | 2020 | MN-FIN | $20,000 | ||
| Monex Deposit Company et al. | investor protection violation | 2020 | MN-FIN | $10,000 | ||
| Pathway Advisors Group | investor protection violation | 2020 | MO-SEC | $11,000 | ||
| Safe Money Millionaire et al. | investor protection violation | 2020 | MO-SEC | $97,429 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | MO-SEC | $9,130 |
| Drake Investment Options LLC | investor protection violation | 2020 | MO-SEC | $101,806 | ||
| TMTE, Inc., a/k/a Chase Metals, LLC | investor protection violation | 2020 | MO-SEC | $38,000 | ||
| Ferry Capital Management LLC | investor protection violation | 2020 | NC-SEC | $60,000 | ||
| The Source | investor protection violation | 2020 | NC-SEC | $5,000 | ||
| White Birch Brewing LLC | investor protection violation | 2020 | NH-BSR | $5,000 | ||
| GT Advanced Technologies Inc. | investor protection violation | 2020 | NH-BSR | $50,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | NH-BSR | $90,000 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | OK-SEC | $9,968 |
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | OR-FIN | $10,599 |
| 99 Crossings LLC | investor protection violation | 2020 | OR-FIN | $50,000 | ||
| Lumentrades Financial Incorporated | investor protection violation | 2020 | OR-FIN | $50,000 | ||
| Starline Solutions, LLC | investor protection violation | 2020 | OR-FIN | $20,000 | ||
| Strategic Capital Holdings, LLC et al. | investor protection violation | 2020 | OR-FIN | $120,000 | ||
| Trickling Springs Creamery, LLC | investor protection violation | 2020 | PA-BKG | $4,375,000 | ||
| Lirio LLC | investor protection violation | 2020 | TN-SEC | $8,000 | ||
| Jones Wealth Management, LLC | investor protection violation | 2020 | TN-SEC | $15,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | TN-SEC | $12,994 |
| Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2020 | TX-SEC | $600,000 |
| Woodland Resources LLC et al. | investor protection violation | 2020 | TX-SEC | $20,000 | ||
| LendingClub Corporation | LendingClub Corp. | financial services | investor protection violation | 2020 | TX-SEC | $400,000 |
| Lorintine Capital LP | investor protection violation | 2020 | TX-SEC | $10,000 | ||
| Challenger Wealth Management | investor protection violation | 2020 | TX-SEC | $5,000 | ||
| WealthForge Securities, LLC and WealthForge Holdings, Inc. | investor protection violation | 2020 | VA-SEC | $50,000 | ||
| Reye Partners Asset Management, LLC | investor protection violation | 2020 | VA-SEC | $6,000 | ||
| HealthSource Chiropractic, Inc. | investor protection violation | 2020 | VA-SEC | $89,000 | ||
| My Choice Hair, LLC | investor protection violation | 2020 | VA-SEC | $7,000 | ||
| Capitol Securities Management, Inc. | investor protection violation | 2020 | VA-SEC | $100,000 | ||
| SNC Capital Management Corporation d/b/a RCM Securities | investor protection violation | 2020 | VA-SEC | $5,000 | ||
| Best Western International, Inc. | investor protection violation | 2020 | VA-SEC | $13,000 | ||
| Master Networks, LLC | investor protection violation | 2020 | VA-SEC | $8,000 | ||
| Skrimp Shack LLC | investor protection violation | 2020 | VA-SEC | $25,000 | ||
| Next Financial Group, Inc. | Atria Wealth Solutions | financial services | investor protection violation | 2020 | VA-SEC | $5,000 |
| Winthrop Investment Management Co. | investor protection violation | 2020 | VT-FIN | $11,250 | ||
| Thornton Investment Management PLLC | investor protection violation | 2020 | VT-FIN | $30,000 | ||
| Account Management LLC | investor protection violation | 2020 | VT-FIN | $80,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | VT-FIN | $6,900 |
| Merrill Lynch | Bank of America | financial services | investor protection violation | 2020 | VT-FIN | $125,000 |
| 3D Money, LLC et al. | investor protection violation | 2020 | WA-FIN | $13,312 | ||
| Rhino Linings Corp. | investor protection violation | 2020 | WA-FIN | $5,937 | ||
| Fortpoint Investment Management | investor protection violation | 2020 | WA-FIN | $83,600 | ||
| Rchain Cooperative | investor protection violation | 2020 | WA-FIN | $65,000 | ||
| Solium Financial Services LLC | Morgan Stanley | financial services | investor protection violation | 2020 | WA-FIN | $33,753 |
| TMTE, Inc. aka Metals.com aka Chase Metals, Inc. | investor protection violation | 2020 | AK-DBS | $700,000 | ||
| Maximo Natural Products, Inc. | investor protection violation | 2020 | AZ-CC | $353,751 | ||
| Western Gateway Region Rural Broadband Company, Inc | investor protection violation | 2020 | AZ-CC | $15,000 | ||
| Edge Financial Technologies, LLC | investor protection violation | 2020 | CFTC | $145,200 | ||
| OANDA Corporation | investor protection violation | 2020 | CFTC | $500,000 | ||
| The Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2020 | CFTC | $50,000,000 |
| The Bank of Nova Scotia | Scotiabank | financial services | investor protection violation | 2020 | CFTC | $77,400,000 |
| New York Mercantile Exchange (NYMEX) | investor protection violation | 2020 | CFTC | $4,000,000 | ||
| Southwest Group, LLC | investor protection violation | 2020 | CFTC | $75,000 | ||
| Plutus Financial, Inc. d/b/a Abra | investor protection violation | 2020 | CFTC | $150,000 | ||
| Perfection PR Firm LLC | investor protection violation | 2020 | CFTC | $1,296,572 | ||
| Foremost Trading LLC | investor protection violation | 2020 | CFTC | $923,013 |
