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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
EDGA Exchange, Inc. and EDGX Exchange, Inc.   2015 SEC $14,000,000
EDG Management Company, LLC   2020 SEC $1,026,642
Edelweiss Financial Services Limited   2012 SEC $568,347
Edelman Financial Services LLC   2006 IL-SEC $5,700
ED Capital Management, LLC   2019 SEC $75,000
ECP Manager LP   2019 SEC $122,656
Ecovista Development LLC and Ecovista Avondale LLC   2021 AZ-SEC $10,000
Ecoval Dairy Trade, Inc.   2011 CFTC $1,425,000
Ecosystem Investment Partners LLC   2018 SEC $75,000
ECO Motor Company, Inc.   2011 WA-FIN $15,000
ECO Acquisitions, LLC   2014 IL-SEC $10,000
eCity, Inc.   2012 MO-SEC $29,000
Echo Canyon LLC   2012 AZ-SEC $443,709
eBX LLC   2012 SEC $800,000
EBN Marketing, LLC   2014 MD-SEC $20,000
EB Financial Group, LLC   2012 SEC $310,499
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Eastside Financial Advisors LLC   2021 SEC $10,000
Eastern Energy Corp.   2003 MN-FIN $8,000
Easterday Exploration, Inc.   2006 MO-SEC $5,000
EASTCORP BUSINESS SERVICES   2009 VA-SEC $17,500
East Side Holdings II   2014 SEC $157,010
East Fork Energy Partners, Inc.   2010 KY-FIN $5,000
East Coast Investments   2013 SC-SEC $12,500
EARTHWALK COMMUNICATIONS, INC.   2006 VA-SEC $60,000
Earth Explorations, LLC   2013 AZ-SEC $449,600
Earth Energy Exploration, Inc.   2012 CO-SEC $414,719
Earn Like a Pro, LLC   2014 MO-SEC $13,534
Early Detection Centers Inc. and Johnathon Roberts, Inc.   2001 AZ-SEC $210,000
EagleEye Asset Management   2013 CFTC $600,000
Eagle Strategies LLC   2020 SEC $101,090
Eagle Strategies LLC   2011 IL-SEC $21,500
Eagle Market Makers, Inc.   2019 CFTC $350,000
Eagle Market Makers Inc.   2012 CFTC $223,000
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
E&H Investment Services, LLC   2021 SC-INS $20,975
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
E*TRADE Securities LLC Morgan Stanley financial services 2011 MULTI-FIN $5,000,000
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
E.J. Sterling LLC   2015 OK-SEC $5,000
E.C.O. Holdings, Corp.   2014 IL-SEC $10,000
E-Z Roadside, LLC   2013 HI-SEC $10,000
E-Trade Securities, LLC Morgan Stanley financial services 2008 FINRA $500,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
E-Slate, Inc.   2018 CFTC $11,183,497
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
E-Commerce Network.com, LLC and Wealth Systems, Inc.   2005 MD-SEC $15,000
E Net Speculation Ltd.   2004 CFTC $50,000
E B Germany & Sons, LLC   2014 IN-SEC $79,150
Dystopia Rising, LLC   2016 WA-FIN $12,000
DynamicDaytrader.com   2000 SEC $55,107
Dynamic Trading Management LLC   2021 SEC $10,000
Dynamic Intelligence, Inc.   2018 SEC $228,552
Dupree Financial Group, LLC   2016 SEC $25,000
Dunham & Associates Investment Counsel, Inc.   2006 SEC $150,000
Dunes Securities Corporation   2017 SC-SEC $12,000
Duncan-Williams, Inc   2015 SEC $250,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Duke and Duke LLC   2021 NJ-BOS $130,473
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
Drummond & Associates Financial Services LLC   2015 SC-SEC $10,000
Driver Opportunity Partners I, LP and Driver Management Company, LLC   2020 MD-FIN $9,500
DrHorsepower, Inc.   2018 AZ-SEC $166,149
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
Dreos Financial Services   2004 AZ-SEC $22,425
Dreambuilder Investments, LLC   2019 WI-FIN $5,000
Dreamakers, LLC   2018 MI-SEC $90,000
Dream Marketing and SEO, Inc.   2014 MD-SEC $20,000
DREAM DINNERS, INC.   2010 VA-SEC $5,400
Dream Dinners, Inc.   2012 WA-FIN $12,375
Drake Investment Options LLC   2020 MO-SEC $101,806
Drake Asset Management LLC   2011 SEC $175,000
Dragonchain, Inc.   2021 WA-SEC $60,000
Dragon Fire Solutions, Inc.   2012 IL-SEC $10,000
Dr. eBill.com, Inc.   2006 MD-SEC $30,000
DR Thaut Inc. dba First Security Financial   2003 OR-FIN $5,000
Doyle, Miles & Co., L.L.C.   2004 FINRA $12,500
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Downline Builders International   2003 IL-SEC $20,000
Douglas Network Enterprises Inc.   2006 OR-FIN $100,000
DOUGLAS AQUATICS, INC.   2010 VA-SEC $17,300
Douglas A. Richardson, CPA, LLC   2019 MO-SEC $3,252,200
Dougherty & Co. LLC   2015 SEC $250,000
Double Eagle Enterprises, LLC   2015 CFTC $700,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC   2011 CA-DFPI $150,000
Dorothy of Oz, LLC   2010 WA-FIN $12,000
Dorothy of OZ LLC dba Box Office Productions III, LLC   2009 TX-SEC $5,000
Donnelly & Co., Inc.   2000 FINRA $17,500
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Dominion Partners Worldwide, LLC   2010 MD-SEC $5,000
Dominick & Dominick LLC   2014 SEC $75,000
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.