Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust   2001 SEC $18,864,116
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Wireless Worldwide Connections, LLC, IX   2006 MN-FIN $5,130
Wisconsin Retirement & Insurance Advisors, LLC   2019 WI-FIN $72,651
Wisdom, Inc.   2008 MS-SEC $314,500
Wise Enterprises, LLC and Wise Lending, LLC   2010 ID-SEC $2,443,637
Wisteria Global, Inc.   2015 SEC $1,138,935
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
WM Financial Services, Inc.   2003 FL-OFR $40,000
Wm Smith & Co.   2017 SEC $50,000
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
WOGE/WOG Ellison Well #1 Joint Venture   2008 WA-FIN $5,000
Wohl Capital Investment Group, LLC   2017 AZ-SEC $37,918
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
Wolfe & Hurst Bond Brokers, Inc   2009 SEC $25,000
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc.   2009 AZ-SEC $448,043
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
Woodbridge Group of Companies LLC   2019 SEC $892,000
Woodbridge Structured Funding LLC   2017 PA-BKG $30,000
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $65,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 AZ-SEC $250,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
Woodland Resources LLC et al.   2020 TX-SEC $20,000
Woodlands Securities Corporation   2001 TX-SEC $5,000
Woodstock Financial Group Inc.   2019 MT-SEC $10,000
Woodstock Financial Group, Inc.   2010 CT-SEC $20,000
Woodstock Securities, Ltd.   2001 WA-FIN $6,000
Word Professional Institute   2011 MD-SEC $30,000
World Banks Foreign Currency Traders, Inc. and International Investors Trading Group, Inc.   2004 CFTC $7,520,580
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc.   2004 SEC $1,522,500
World Financial & Investment Co., Inc.   2001 SEC $175,000
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
World Group Securities, Inc. Aegon financial services 2006 MO-SEC $228,600
World Interactive Gaming Corporation   2000 NY-AG $6,300,000
WORLD ONLINE 247, INC.   2003 VA-SEC $31,500
World Phantasy Tours   2008 OR-FIN $300,000
World Trend Financial Planning Services, Ltd   2019 VA-SEC $40,000
WorldPMX, Inc.   2014 CFTC $1,100,000
Worldwide Capital, Inc.   2014 SEC $7,253,726
Worldwide Clearing, LLC   2007 CFTC $3,692,516
Worldwide Commodity Corporation and South Coast Commodities, Inc.   2006 CFTC $14,700,000
Worldwide Energy and Manufacturing USA Inc.   2012 SEC $100,000
Worldwide Entertainment, Inc.   2005 MO-SEC $2,698,892
Worldwide Forex, Inc.   2005 AZ-SEC $5,000
Worldwide Forex, Inc. and Worldwide Commodity Corp.   2007 CFTC $4,200,000
Worth Asset Management   2014 CFTC $6,200,000
Worth Group Inc.   2016 CFTC $2,500,000
Wortham Oil & Gas   2008 WA-FIN $5,000
Wortham Oil & Gas Enterprises, LLC   2008 WA-FIN $5,000
Worthington Energy Inc.   2014 SEC $25,000
Woso Energy Corporation   2006 ME-SEC $6,000
WR&A Financial Services LLC   2015 SC-SEC $10,000
Wren's Oil Field Recovery Co.   2009 IN-SEC $63,000
Wright Direction.com, LLC   2013 FL-OFR $6,000
Wright Time Capital Group LLC   2018 CFTC $1,485,000
WSK Energy, L.L.C.   2006 AZ-SEC $5,000
Wunderlich Securities, Inc.   2011 SEC $532,624
Wunderlich Securities, Inc.   2007 IL-SEC $10,000
WWW Advisors, Inc.   2000 SEC $5,000
Wynn Investments LLC   2020 FL-OFR $7,000
Wyoming Financial Securities, Inc.   2005 MO-SEC $10,000
Wyoming Investment Management Services, LLC   2015 SEC $10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc.   2001 SEC $400,000
X-Change Financial Access LLC   2018 CFTC $150,000
XBT Corp Sarl dba First Global Credit   2019 SEC $131,952
XBT Corp. SARL d/b/a First Global Credit   2019 CFTC $100,000
Yarn & Company, Inc.   2010 MD-SEC $464,333
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC   2016 WA-FIN $30,000
Yellowstone Partners, Inc.   2011 CFTC $1,600,000
Yes Entertainment, LLC   2000 SEC $14,546,808
Yofast, LP   2013 WA-FIN $15,000
YoFresh Yogurts Franchising, Inc.   2015 CT-SEC $10,000
YOFRESH YOGURTS FRANCHISING, INC.   2016 VA-SEC $205,000
York Business Associates LLC d/b/a TransAct Futures   2012 CFTC $199,000
Young Oil Corp. et al.   2017 KY-FIN $1,000,000
Young Oil Corporation   2006 RI-FIN $31,000
Youngevity International, Inc.   2016 MT-SEC $10,000
Your Living Trust   2004 AZ-SEC $75,500
Your Local Market, LLC   2014 WA-FIN $10,000
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
Yucaipa Master Manager, LLC   2018 SEC $2,934,312
Yucatan Resorts dba Avalon Resorts   2008 OR-FIN $300,000
Z Touch Systems, Inc.   2006 IL-SEC $5,000
ZBS Group LLP   2019 SEC $48,461
Zilmil, Inc.   2019 CFTC $22,854,289
Zulutoys Limited   2016 MO-SEC $27,367
Zulutrade Inc.   2014 CFTC $150,000
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
Zurich Futures and Options, Inc   2009 CFTC $5,429,196
Zuvan Technologies, Inc.   2018 MI-SEC $30,000
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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.