Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
FIRM GRIP BUSINESS MANAGEMENT   2008 VA-SEC $70,000
DA-VI NAILS INTERNATIONAL   2008 VA-SEC $9,250
GREYSTONE CAPITAL   2008 VA-SEC $15,000
King Lombardi Acquisitions, Inc. d/b/a VR Business Brokers   2008 VA-SEC $10,000
CHANCELLORSVILLE FINANCING   2008 VA-SEC $140,000
DECKER EQUITIES, LP   2008 VA-SEC $205,000
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
JTH TAX, INC. D/B/A LIBERTY TAX SERVICE   2008 VA-SEC $10,000
FROOTS FRANCHISING COMPANIES   2009 VA-SEC $6,000
EnStyle Wedding Designs International, LLC   2009 VA-SEC $50,000
EASTCORP BUSINESS SERVICES   2009 VA-SEC $17,500
GRISWOLD SPECIAL CARE, INC.   2009 VA-SEC $15,000
NETTALON SECURITY SYSTEMS INC   2009 VA-SEC $7,200
ESS ENVIRONMENTAL, INC.   2009 VA-SEC $110,000
TENGFEI, INC.   2009 VA-SEC $33,000
INVESTOLOGY, INC.   2009 VA-SEC $7,000
Wealth Matters, Inc.   2009 VA-SEC $5,000
Phoenix Technologies LLC   2009 VA-SEC $30,000
SPA' LADI-DA FRANCHISE, INC.   2009 VA-SEC $72,928
Technology Communication Management, LLC   2009 VA-SEC $640,000
TEXAS BAR-B-Q FACTORY, ET AL.   2009 VA-SEC $8,300
Benefit Contract Administrators, Inc. et al.   2009 VA-SEC $11,347,906
LOG CABIN BBQ, LLC   2010 VA-SEC $59,216
THE SENIOR'S CHOICE INC.   2010 VA-SEC $17,500
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
CAPITOL SECURITIES MANAGEMENT   2010 VA-SEC $15,000
LIFE PARTNERS, INC.   2010 VA-SEC $170,000
DREAM DINNERS, INC.   2010 VA-SEC $5,400
DOUGLAS AQUATICS, INC.   2010 VA-SEC $17,300
THE GLOVE LADY, LLC   2010 VA-SEC $54,472
PLAY N TRADE FRANCHISE, INC.   2010 VA-SEC $15,000
Skin Appeal Day Spa, Inc.   2010 VA-SEC $244,100
GREAT AMERICAN ADVISORS, INC.   2010 VA-SEC $20,000
Cellairis Franchise, Inc.   2010 VA-SEC $20,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
SCOTT & STRINGFELLOW LLC   2011 VA-SEC $25,000
SUMMIT WEALTH MANAGEMENT, LLC   2011 VA-SEC $9,350
FETCH! PET CARE INC.   2011 VA-SEC $7,700
Stratus Franchising, LLC   2011 VA-SEC $20,000
VERITRAX CORPORATION   2011 VA-SEC $1,550,000
THE BUFFALO EXTENSION LLP   2011 VA-SEC $15,000
TECSEC, INC.   2011 VA-SEC $5,000
NAI BLUESTONE REAL ESTATE   2011 VA-SEC $17,000
VALIANT HEALTH CARE, INC.   2012 VA-SEC $92,528
WINDOW WORLD, INC.   2012 VA-SEC $8,000
The New Dimension Group, LLC   2012 VA-SEC $11,000
TRIUNE, LLC   2012 VA-SEC $30,000
ATLANTIC SUN CONTROL, INC.   2013 VA-SEC $20,000
EWC FRANCHISE, LLC   2013 VA-SEC $13,000
TENGFEI, INC.   2013 VA-SEC $32,000
BRAZELTON LOAN PARTNERS   2013 VA-SEC $22,168
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
CHANELLO'S INTERNATIONAL, INC.   2013 VA-SEC $12,500
CAPITAL BUSINESS CONSULTANTS LLC   2013 VA-SEC $9,000
ALL ABOUT HONEYMOONS FRANCHISE   2013 VA-SEC $12,000
BROOKLYN WATER BAGEL FRANCHISE   2013 VA-SEC $6,000
HERITAGE FINANCIAL SYSTEMS, &   2013 VA-SEC $53,335
ALEXANDER PERRY CORPORATION   2013 VA-SEC $62,000
ANY TEST FRANCHISING, INC.   2013 VA-SEC $35,000
FOODNET FRANCHISING, INC. &   2013 VA-SEC $12,500
FINTEGRA, LLC   2014 VA-SEC $120,000
MULLINS INVESTMENT SERVICES   2014 VA-SEC $6,000
BIO-FUEL DEVELOPMENT COMPANY   2014 VA-SEC $9,300
INDEPENDENT FINANCIAL GROUP, LLC   2014 VA-SEC $35,000
PACIFIC WEST SECURITIES, INC.   2014 VA-SEC $50,000
URBAN BAR-B-QUE COMPANY   2014 VA-SEC $5,000
MIDATLANTIC IRA, LLC   2014 VA-SEC $7,500
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
MR. OIL SAVER, LLC   2014 VA-SEC $23,000
Manhattan Pizza Company, LLC and Luv'nberry   2014 VA-SEC $15,000
J.W. KORTH & COMPANY, LP   2015 VA-SEC $10,000
C & C Franchising, Inc. d/b/a Jani-King of Hampton Roads   2015 VA-SEC $29,000
ELITE SPORTS ENTERPRISES, INC.   2015 VA-SEC $22,000
TMA Franchise Systems, Inc. d/b/a The Mosquito Authority   2015 VA-SEC $22,500
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes   2015 VA-SEC $5,000
BLUE LIGHTNING ENTERPRISES INC.   2015 VA-SEC $5,000
WELLS FARGO ADVISORS Wells Fargo financial services 2015 VA-SEC $205,000
HOCOA Franchising Co., LLC   2015 VA-SEC $12,000
G4i Capital Partners, Inc.   2015 VA-SEC $160,000
911 RESTORATION FRANCHISE, INC   2015 VA-SEC $7,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
Goldberg Financial, LLC   2015 VA-SEC $12,000
GLOBAL RETAILERS, LLC   2015 VA-SEC $15,000
FULCRUM SECURITIES, LLC   2016 VA-SEC $91,954
CI FRANCHISE COMPANY, LLC   2016 VA-SEC $65,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
CHRISTIAN WEALTH MANAGEMENT, LLC   2016 VA-SEC $60,000
Key West Yogurt International, Inc.   2016 VA-SEC $547,750
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
BFK FRANCHISE COMPANY, LLC   2016 VA-SEC $35,500
Bambu IP, LLC, Bambu Desserts & Drinks, Inc.   2016 VA-SEC $84,500
Vasilios Community Development Corporation   2016 VA-SEC $250,000
YOFRESH YOGURTS FRANCHISING, INC.   2016 VA-SEC $205,000
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
Pelican's Snoballs VA LLC   2016 VA-SEC $15,000
Megadance USA Corp   2017 VA-SEC $7,500
PAWS & REMEMBER LLC   2017 VA-SEC $5,000
AMAZING FINISH, LLC   2017 VA-SEC $5,000
EXPANSION INDUSTRIES, LLC   2017 VA-SEC $22,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): 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.