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 |