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 Companies | Total Penalty $ | Number of Records |
|---|
| Bank of America | $13,535,778,962 | 113 |
| UBS | $11,671,743,159 | 60 |
| Citigroup | $8,176,245,730 | 63 |
| JPMorgan Chase | $6,010,421,206 | 71 |
| Morgan Stanley | $4,209,326,733 | 141 |
| Deutsche Bank | $4,049,166,828 | 40 |
| Goldman Sachs | $3,904,979,984 | 40 |
| Wells Fargo | $2,487,362,735 | 82 |
| American International Group | $1,623,560,000 | 10 |
| MF Global | $1,324,000,000 | 3 |
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 
or
XML (maximum 10,000; for access to larger downloads contact
Phil Mattera)
Company |
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 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.
