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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,226,569,211
Number of Penalty Records: 
5,266
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$13,367,992,14173
UBS$11,608,479,90945
Citigroup$8,090,974,62832
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,110,71283
Deutsche Bank$3,984,084,82823
Goldman Sachs$3,688,695,98724
Wells Fargo$2,404,990,13051
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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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
1-800-Flowers.com Franchise Co., Inc.   2014 MD-SEC $5,000
100 Miles, LLC   2010 MD-SEC $20,000
1Globe Capital, LLC   2020 SEC $200,000
1pool Ltd.   2019 CFTC $421,000
1st Discount Brokerage, Inc.   2012 SEC $40,000
1st Global Capital Corp.   2006 SEC $100,000
2 West, Inc., et al.   2016 SEC $2,025,179
20th Century Jackson Equities, Inc.   2007 SEC $470,269
21 Century Power   2001 OR-FIN $25,000
211 Ventures LLC   2013 SEC $2,300,000
212 Advisory Group, LLC   2019 GA-SEC $20,000
21st Century Investing Advisors Corp.   2014 FL-OFR $7,500
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
21st Century Satellite Communications, Inc.   2002 AZ-SEC $267,000
21st Sentry Technologies, Inc. and Futurecom Global, Inc.   2010 IL-SEC $20,000
21ST. CENTURY TECHNOLOGIES FUNDING   2001 VA-SEC $5,000
21ST. CENTURY TECHNOLOGIES LLC   2001 VA-SEC $5,000
2946033 CANADA, Inc. dba The Mad Science Group   2013 MD-SEC $18,500
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
360 Financial, Inc.   2017 SEC $40,000
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
39 Lispenard Project, LLC   2015 NY-AG $5,000
3C Advisors & Associates, Inc.   2016 SEC $7,500
3D Money, LLC et al.   2020 WA-FIN $13,312
3T Options, LLC   2013 AZ-SEC $151,919
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
4NExchange   2008 CFTC $480,000
4X Solutions Inc.   2016 CFTC $10,980,904
5 Star Investment Group, LLC   2015 IN-SEC $5,000
5A Holdings, LLC   2018 MO-SEC $3,548,483
7 Oaks Pharmaceutical Corp.   2014 SC-SEC $50,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
7S Oil & Gas, LLC   2017 SEC $750,000
8000 Inc.   2015 SEC $6,500,000
808 Investments LLC et al.   2009 TX-SEC $10,000
911 RESTORATION FRANCHISE, INC   2015 VA-SEC $7,000
99 Crossings LLC   2020 OR-FIN $50,000
A Better Financial Plan LLC   2019 PA-BKG $490,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC   2014 SEC $12,950,000
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
A&O Life Fund, LLC et al.   2009 IL-SEC $20,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
A. Neff Associates   2017 PA-BKG $5,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
AAA Venture Business Brokers, Ltd.   2014 IL-SEC $27,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
ABC Financial Planning   2017 NH-BSR $15,000
ABCSP Inc.   2010 MD-SEC $35,000
ABM Management, Inc. et al.   2017 MO-SEC $2,605,226
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
Abousaoui Financial, LLC   2019 IN-SEC $119,555
ABS Manager   2015 SEC $1,087,648
Absa Bank, Ltd.   2014 CFTC $150,000
Abshier Webb Donnelly & Baker Inc.   2009 TX-SEC $25,000
Abtech Holdings, Inc.?   2018 SEC $133,414
Acadia Asset Management, LLC   2015 SEC $354,115
ACCA Enterprises LLC   2017 NM-SEC $10,000
Accelerated Mentoring LLC fka Internet Sales Institute LLC   2013 CT-SEC $90,000
Accelerated Success, Inc.   2001 AZ-SEC $24,561
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Accelerated Wealth, LLC   2017 CO-SEC $50,000
Acceleration Capital, LLC   2007 CFTC $218,000
Access Capital Education & Services Co. Inc. et al.   2015 NJ-BOS $1,000,000
Access Capital Partners   2009 NY-AG $1,600,000
Account Management LLC   2019 SEC $100,000
Account Management LLC   2020 VT-FIN $80,000
Accurate Financial Group Ltd.   2010 IL-SEC $20,000
Ace Payday Plus, LLC   2004 SEC $1,842,133
ACE SUSHI & ASIANA   2006 VA-SEC $17,100
ACI Capital Group, L.L.C.   2012 CFTC $850,000
ACI Holdings, Inc.   2007 AZ-SEC $999,763
ACI Inc.   2004 SEC $7,756,750
ACJ Capital Inc., and Solid View Capital LLC   2013 CFTC $1,500,000
ACJ Capital, Inc.   2012 CFTC $3,700,000
ACL Alternative Fund Limited   2013 NH-BSR $5,000
Acuity Lending Corporation   2013 OR-FIN $4,500,000
Adamas Investments, LLC   2010 AZ-SEC $690,125
Adams Capital Management   2017 SEC $45,000
Adams Financial Concepts, LLC   2014 WA-FIN $15,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc.   2004 SEC $575,000
Adar International   2000 SEC $10,000
Addison Capital Co.   2016 PA-BKG $175,000
ADM Investor Services Inc. Archer Daniels Midland agribusiness 2019 CFTC $250,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2013 CFTC $425,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2009 CFTC $200,000
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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.