Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,324,146,231
Number of Penalty Records: 
5,303
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$13,398,055,23575
UBS$11,613,979,90946
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,210,71284
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,738,695,98725
Wells Fargo$2,405,119,26152
American International Group$1,579,000,0004
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 Agencysort icon Penalty Amount
Crews and Associates, Inc.   2019 AR-SEC $5,000
Wilshire-Pennington Group, Inc.   2019 AR-SEC $12,500
Alexander Capital, L.P.   2019 AR-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
QVG, LLC   2019 AR-SEC $8,000
D-Val, LLC and D-Val Construction & Real Estate Investments   2008 AR-SEC $326,000
Fidelity National Legal Systems, Inc.   2010 AR-SEC $10,000
Phoenix Performance Enhancement Group   2010 AR-SEC $10,000
Gardner Insurance Agency, Inc.   2011 AR-SEC $122,365
Heritage Corner, Ltd. And Heritage Funding Group, Inc.   2011 AR-SEC $310,000
P-R-E, LLC dba Phoenix Renewable Energy   2013 AR-SEC $1,804,250
Nick Lynn Technologies, Inc.   2013 AR-SEC $70,000
SKB Partners and Maverick Investments, LLC   2016 AR-SEC $725,000
Truckville Inc. dba EZ Finance Auto Sales   2000 AZ-SEC $5,000
Forex Investment Services Corp. et al.   2000 AZ-SEC $416,086
American Express Financial Advisors Ameriprise Financial financial services 2000 AZ-SEC $125,000
Great Western Investment Trust, Ltd.   2000 AZ-SEC $435,789
National Financial Group and World Wide Business Opportunities, LLC   2000 AZ-SEC $20,000
Superior Leasing of Arizona, Inc. and Superior Holding Group, Inc.   2000 AZ-SEC $6,792,956
Estate Services II, Inc.   2000 AZ-SEC $15,000
Cochise Financial Corp.   2000 AZ-SEC $1,301,929
Alliance Trust and Chemical Trust and United Marketing Trust   2000 AZ-SEC $75,000
Tucson Estate Financial Advisors, Inc.   2000 AZ-SEC $114,080
Mining Ventures International, LLC   2000 AZ-SEC $253,500
Successful Finance, Inc.   2000 AZ-SEC $421,040
Eye International, L.L.C. and American International Beneficial Association, Inc.   2000 AZ-SEC $11,500
Global Harvest Corp.   2001 AZ-SEC $20,000
Mobile Cash Systems, LLC et al.   2001 AZ-SEC $12,192,829
United Planners' Financial Services of America, A Limited Partnership   2001 AZ-SEC $79,000
Arizona Investment Advisers, Inc.   2001 AZ-SEC $3,050,000
Oxford Development, L.L.C. and CNT Family Fun Outlets, Inc.   2001 AZ-SEC $5,336,160
Keith B. Davis, Inc.   2001 AZ-SEC $1,073,000
Early Detection Centers Inc. and Johnathon Roberts, Inc.   2001 AZ-SEC $210,000
Why Not Entertainment, L.L.C.   2001 AZ-SEC $137,500
Hotel Connect, LLC et al.   2001 AZ-SEC $5,400,000
Investment Planners of America, Inc.   2001 AZ-SEC $25,000
Prosperity Investors Group   2001 AZ-SEC $303,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Integrity Assured Life Settlements, Inc.   2001 AZ-SEC $10,611
Steven S. Levine Chartered   2001 AZ-SEC $5,000
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Aeromax, Inc. and Aeromag Corp.   2001 AZ-SEC $10,000
Profutura LLC   2001 AZ-SEC $6,215,350
Hylton Enterprises, Inc. et al.   2002 AZ-SEC $242,554
Creative Financial Funding, L.L.C. et al.   2002 AZ-SEC $7,947,777
William R. Evans Chartered   2002 AZ-SEC $5,000
Viatical Center, Inc.   2002 AZ-SEC $12,500
Beneficial Assistance   2002 AZ-SEC $5,000
The Chamber Group, Inc.   2002 AZ-SEC $16,342,404
American Insurance Services, L.L.C.   2002 AZ-SEC $810,300
21st Century Satellite Communications, Inc.   2002 AZ-SEC $267,000
Intermarc Marketing and Cashflows   2002 AZ-SEC $22,750
Pre-IPO Venture Capital Fund, L.L.C.   2002 AZ-SEC $525,000
Glenn A. Libertore Financial Services   2002 AZ-SEC $33,460
Republic Cash Advance, Inc. and Quick Cash Advance, Inc.   2002 AZ-SEC $6,348,492
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Eternal Presence, Inc.   2002 AZ-SEC $58,780
Netgo, Inc. and SDIC Partnership and Camelback, Ltd.   2002 AZ-SEC $10,000
Estate Conservation Strategies, Inc.   2002 AZ-SEC $5,000
M-Corp International, Ltd. and M-Corp International   2002 AZ-SEC $30,000
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Meracana Mining Corp.   2002 AZ-SEC $151,439
Scottsdale Financial Funding Group, LLC   2003 AZ-SEC $3,391,570
One Vision Children's Foundation, Inc.   2003 AZ-SEC $4,407,140
Bob's Cash Express, Inc. et al.   2003 AZ-SEC $693,320
Non-Stop Shopping.com, Inc. dba 2C2K.com, Inc.   2003 AZ-SEC $162,500
Martin & Griffin, LLC   2003 AZ-SEC $6,982,222
DMS Power Cash Flow, L.L.C. and Persanco, L.L.C.   2003 AZ-SEC $945,025
Ocean International Marketing, Ltd et al.   2003 AZ-SEC $174,689
Healthcare Purchasing Alliance, Inc.   2004 AZ-SEC $273,933
Global Trusts, L.L.C.   2004 AZ-SEC $125,680
Your Living Trust   2004 AZ-SEC $75,500
Corporate Architects, Inc.   2004 AZ-SEC $20,925
B.B. Financial Services Group, Inc.   2004 AZ-SEC $174,050
Dreos Financial Services   2004 AZ-SEC $22,425
International Global Positioning, Inc.   2004 AZ-SEC $615,951
Johnson Estate Planning Service, Inc.   2004 AZ-SEC $176,500
Integrowth Financial Group   2004 AZ-SEC $2,016,524
Unity Financial, LLC   2004 AZ-SEC $1,642,564
Intersecurities, Inc.   2004 AZ-SEC $50,000
HCH Enterprises, L.L.C.   2004 AZ-SEC $371,000
Fountain Capital Management, LLC   2005 AZ-SEC $47,833
Solution, Sources, and Consulting, LLC and Energy Savings Solution, Inc.   2005 AZ-SEC $1,229,186
Retirement Planning Center   2005 AZ-SEC $167,944
Pristine Property & Investments, Inc.   2005 AZ-SEC $107,704
Southwest Capital Advisors LLC   2005 AZ-SEC $264,558
Check and Send, Inc.   2005 AZ-SEC $807,484
M.A.C Investments, Inc. et al.   2005 AZ-SEC $9,566,872
Universal FX Incorporated   2005 AZ-SEC $5,000
Worldwide Forex, Inc.   2005 AZ-SEC $5,000
Omni Horizon Group, LLP   2005 AZ-SEC $661,676
Centenarios Gold, Inc.   2005 AZ-SEC $5,000
Listo, Inc.   2005 AZ-SEC $906,875
Brixon Group Ltd.   2005 AZ-SEC $8,786,445
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
WSK Energy, L.L.C.   2006 AZ-SEC $5,000
Opulent Properties LLC et al.   2006 AZ-SEC $600,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Southwest Trust & Financial   2006 AZ-SEC $425,000
National Estate Planning Service and Planning and Senior Advisory Services   2006 AZ-SEC $635,000
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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.