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
Phoenix Funding, LLC   2012 AZ-SEC $58,905
Mountain State Power, Inc.   2012 AZ-SEC $20,000
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
Sterling Investments Group International, LLC   2012 AZ-SEC $129,000
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
MT Explorations, LLC   2012 AZ-SEC $5,000
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Real Estate Monster, LLC   2013 AZ-SEC $5,000
Innovative Construction, Inc. and Atlantic Lexus, Ltd.   2013 AZ-SEC $524,754
U.S. Media Team, LLC and Cell Wireless Corp.   2013 AZ-SEC $139,000
Earth Explorations, LLC   2013 AZ-SEC $449,600
True North Business Ventures LLC   2013 AZ-SEC $376,091
Parker Skylar &Associates, LLC   2013 AZ-SEC $1,992,000
Westcap Energy, Inc. dba Westcap Solar   2013 AZ-SEC $10,000
Radical Bunny, L.L.C.   2013 AZ-SEC $189,800,867
Horizon Partners, L.L.C.   2013 AZ-SEC $150,000
RSC Adventures, LLC   2013 AZ-SEC $6,500
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
International Air Medical Services, Inc.   2013 AZ-SEC $1,456,300
SDC Montana Consulting, LLC   2013 AZ-SEC $25,000
3T Options, LLC   2013 AZ-SEC $151,919
Promise Land Properties, LLC   2013 AZ-SEC $983,000
TF6 Advisors, LLC and Pacific Ventures & Trading LLC   2013 AZ-SEC $215,887
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
TV Products, LLC fka US Loans Negotiation, LLC   2013 AZ-SEC $185,734
Weldon LLC   2013 AZ-SEC $9,000
Hampton Capital Markets, LLC   2014 AZ-SEC $50,000
Lanesborough Financial Group, LLC   2014 AZ-SEC $759,725
Magdalena Homes, L.L.C. and Rotall Marketing Group L.L.C. and Todd Robert Homes, Inc.   2014 AZ-SEC $245,100
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc. Nordstrom retailing 2014 AZ-SEC $2,263,142
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Neoteric Energy, Inc.   2014 AZ-SEC $10,000
Krauser Investment Group, LLC   2014 AZ-SEC $99,347
SEED Corp.   2014 AZ-SEC $2,674,654
Legacy Financial Advisors, LLC   2014 AZ-SEC $390,806
Catharon Software Corp.   2015 AZ-SEC $5,176,559
Lanesborough Financial Group, LLC   2015 AZ-SEC $90,910
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC   2015 AZ-SEC $2,995,500
Red Mountain Funding, Inc.   2015 AZ-SEC $4,344,885
Investment Acquisitions Group LLC   2015 AZ-SEC $1,180,339
Deer Park Development Corp.   2015 AZ-SEC $892,630
Biltmore Wealth Advisors, LLC   2015 AZ-SEC $5,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
Marchant International Resources, Inc.   2016 AZ-SEC $1,841,513
Franklin AAA Holdings, LLC   2016 AZ-SEC $62,426
Simply Smart Homes, LLC and Smart Enterprises, LLC   2017 AZ-SEC $123,750
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Hawkins Wealth Advisory LLC   2017 AZ-SEC $19,028
Infinity Fuels, Inc.   2017 AZ-SEC $47,795
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Tri-Core Companies, LLC et al.   2017 AZ-SEC $4,822,311
Wohl Capital Investment Group, LLC   2017 AZ-SEC $37,918
LoanGo Corp.   2017 AZ-SEC $265,000
Believing in Jesus Investments, LLC   2017 AZ-SEC $270,050
Caesar Investments, LLC   2017 AZ-SEC $472,378
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Guardian Wealth Management, LLC   2018 AZ-SEC $6,000
GenTecnics, LLC and iCorp LLC   2018 AZ-SEC $734,120
Delta FX Trade   2018 AZ-SEC $15,000
Howard Price Wealth Management, LLC   2018 AZ-SEC $806,994
DrHorsepower, Inc.   2018 AZ-SEC $166,149
Black Platinum Holdings, LLC and GSI Global, Inc.   2018 AZ-SEC $230,000
Wesleyan Investment Foundation, Inc.   2018 AZ-SEC $25,000
Leland Energy et al.   2018 AZ-SEC $3,372,537
Advanced Planning Concepts, LLC   2018 AZ-SEC $37,435
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Partisan Alliance Corp.   2019 AZ-SEC $103,000
JG Enterprise, LLC   2019 AZ-SEC $19,772
BAIC, Inc.   2019 AZ-SEC $2,004,649
SoBell Corp.   2019 AZ-SEC $779,450
IDIAZ, LLC   2019 AZ-SEC $113,000
Wealth Creator Private Equity, LLC   2019 AZ-SEC $35,000
Native American Water, L.L.C. dba NATAWA et al.   2019 AZ-SEC $5,874,215
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC   2019 AZ-SEC $27,801,783
Skytrace, Inc.   2019 AZ-SEC $147,500
Trager, L.L.C.   2019 AZ-SEC $50,000
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Morgan Stanley Morgan Stanley financial services 2019 CA-AG $150,000,000
PA Distributors   2004 CA-AG $9,000,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
Green Screen Partners, LLC et al.   2002 CA-DBO $18,592,430
The Social Equity Group, Inc.   2004 CA-DBO $9,000
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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.