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
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
Yankee Financial Group, Inc.   2005 FINRA $3,800,000
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
Zions Direct, Inc. Zions Bancorporation financial services 2010 FINRA $225,000
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
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.