Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
Encore Energy, Inc.   2018 KY-FIN $20,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Endeavor Management Solutions, LLC   2018 CT-SEC $100,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Energy Automation Systems, Inc.   2008 MD-SEC $100,000
Energy Automation Systems, Inc.   2010 WA-FIN $5,000
Energy Group International Inc.   2001 OR-FIN $5,000
Enfinium Pty Ltd   2012 CFTC $80,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Enigma MPC   2020 SEC $500,000
Ensconce Data Technology Inc.   2014 NH-BSR $12,500
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Enskilda Futures Limited   2013 CFTC $125,000
Enskilda Futures Ltd.   2011 CFTC $150,000
EnStyle Wedding Designs International, LLC   2009 VA-SEC $50,000
ENTERRA ENERGY, LLC   2008 VA-SEC $255,000
enTerra Seven, LLP   2008 VA-SEC $20,000
EnviraTrends, Inc.   2015 SEC $150,000
Environ-Chem Inc.   2020 MN-FIN $5,067
Envision Capital Management, Ltd.   2011 SEC $100,000
Enviso Capital LLC   2017 SEC $50,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envoy Advisory, Inc.   2017 SEC $51,892
Enzyme Environmental Solutions, Inc.   2011 SEC $371,135
EOX Holdings LLC   2020 CFTC $120,000
EPG Advisory LLC   2013 PA-BKG $10,000
Ephesians 6:11 LLC   2014 FL-OFR $15,000
Epic Equitable, LLC   2011 CO-SEC $99,700
Equal Earth, Inc.   2019 SEC $7,655,000
Equidate Inc.   2016 SEC $80,000
Equinox Fund Management LLC   2016 CFTC $5,654,004
Equinox Fund Management, LLC   2016 SEC $400,000
Equitas Capital Advisers LLC   2013 SEC $225,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Equity Associates LLC   2013 OK-SEC $42,500
Equity Options Inc. of Bend   2013 OR-FIN $20,000
Equity Services Inc.   2019 SEC $587,017
Equity Services, Inc.   2009 SEC $300,000
Equity Services, Inc.   2011 FINRA $214,000
Equity Station, Inc.   2010 FINRA $25,000
EquityAlert.com, Inc.   2000 SEC $20,000
EquityAlert.com, Inc. and Innotech Corporation   2003 SEC $31,555
Equitystar Capital Management, LLC   2018 SEC $2,890,518
ERF Wireless Inc.   2014 SEC $50,000
Eric Hall & Associates, LLC   2018 SEC $54,761
Ernst & Associates, LLC   2016 MO-SEC $12,000
Ernst & Young LLP Ernst & Young business services 2008 SEC $2,918,987
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Erudite Systems, Inc. et al.   2006 IL-SEC $20,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
ESL Partners, L.P.   2008 FTC $525,000
ESS ENVIRONMENTAL, INC.   2009 VA-SEC $110,000
Essex Financial Services Inc.   2019 SEC $645,000
Essex Financial Services, Inc.   2017 SEC $183,181
Essex Financial Services, Inc.   2015 CT-SEC $25,000
Essex Futures   2019 CFTC $500,000
Estate Conservation Strategies, Inc.   2002 AZ-SEC $5,000
Estate Planning Protection, Inc.   2006 AZ-SEC $1,145,000
Estate Protection Consultants, L.L.C.   2007 AZ-SEC $226,891
Estate Services II, Inc.   2000 AZ-SEC $15,000
Estrada Hinojosa & Company, Inc.   2015 SEC $40,000
Eternal Presence, Inc.   2002 AZ-SEC $58,780
ETF Trend Trading   2016 NH-BSR $25,997
Ethiopian Electric Power   2016 SEC $6,448,854
Ettro Capital Management Corp.   2021 SEC $60,000
Euclid Systems Corp.   2004 MD-SEC $5,000
Eureeca Capital SPC   2014 SEC $25,000
Euro Pacific Capital, Inc.   2009 CT-SEC $7,500
European Assets, Inc.   2016 IL-SEC $15,000
Evans Technology Holding Co.   2018 CT-SEC $5,000
Everen Securities, Inc. and First Union Securities, Inc.   2005 MO-SEC $300,000
Everest Capital LLC   2020 SEC $3,208,226
Everest Investment Advisors, Inc.   2017 MD-SEC $195,000
Everest Wealth Management, Inc.   2017 MD-AG $255,000
Everest Wealth Management, Inc.   2017 MD-SEC $200,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
Everhart Financial Group, Inc.   2016 SEC $305,407
Evesham Capital Management   2020 PA-BKG $125,000
Evolve Securities, Inc.   2010 IL-SEC $5,860
EWC FRANCHISE, LLC   2013 VA-SEC $13,000
Executive Commodity Corp.   2008 CFTC $23,910,000
Executive Management Advisors L.L.C.   2015 CFTC $31,000,000
Executive Monetary Management, LLC   2016 SEC $100,000
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
EXPANSION INDUSTRIES, LLC   2017 VA-SEC $22,000
Explorador Capital Management   2014 SEC $155,658
Explore Financial Group   2017 PA-BKG $75,000
Extreme Energy Solutions, Inc.   2014 NJ-AG $1,100,000
Eye International, L.L.C. and American International Beneficial Association, Inc.   2000 AZ-SEC $11,500
EyeCashNetworks, Inc. and Alliance Equities, Inc.   2003 SEC $688,230
EZTD Inc.   2016 SEC $1,700,000
F-Squared Investments   2014 SEC $35,000,000
F.C. Franchising Systems, Inc. d/b/a Fresh Coat   2021 VA-SEC $8,000
F.W. Thompson Company Ltd.   2000 SEC $100,000
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.