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
Envoy Advisory, Inc.   2017 SEC $51,892
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Enviso Capital LLC   2017 SEC $50,000
Envision Capital Management, Ltd.   2011 SEC $100,000
Environ-Chem Inc.   2020 MN-FIN $5,067
EnviraTrends, Inc.   2015 SEC $150,000
enTerra Seven, LLP   2008 VA-SEC $20,000
ENTERRA ENERGY, LLC   2008 VA-SEC $255,000
EnStyle Wedding Designs International, LLC   2009 VA-SEC $50,000
Enskilda Futures Ltd.   2011 CFTC $150,000
Enskilda Futures Limited   2013 CFTC $125,000
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Ensconce Data Technology Inc.   2014 NH-BSR $12,500
Enigma MPC   2020 SEC $500,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Enfinium Pty Ltd   2012 CFTC $80,000
Energy Group International Inc.   2001 OR-FIN $5,000
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
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Endeavor Management Solutions, LLC   2018 CT-SEC $100,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Encore Energy, Inc.   2018 KY-FIN $20,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
EMS Capital LP   2019 SEC $317,415
Empire Wine & Liquor Superstore CT, LLC   2018 CT-SEC $5,000
Empire Stock Transfer, Inc.   2016 SEC $154,239
Empire Stock Transfer Inc.   2014 SEC $50,000
Emperor Investments, Inc.   2021 SEC $25,000
Emmet & Co., Inc.   2005 FINRA $40,000
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
EMI Sun Village, Inc. et al.   2007 ID-SEC $40,000
EMF Financial Products, LLC   2009 CFTC $4,000,000
Emerson Capital Corp.   2014 IL-SEC $5,500
Emerging Technologies Development Co. and Emerging Technologies Investment Group, L.L.C.   2006 MO-SEC $110,845
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
EM Capital Management, LLC?   2012 SEC $20,000
Elysium Capital Group, L.L.C.   2010 AZ-SEC $91,430
Elysium Capital Group, L.L.C.   2010 AZ-SEC $74,100
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC   2012 CFTC $5,400,000
Elray Resources, Inc.   2016 SEC $50,000
Elm Partners Management LLC   2018 SEC $75,000
Elliot & Associates Wealth Management Inc.   2013 FL-OFR $12,375
Eljay Investment Company   2012 OR-FIN $5,000
Elite Ventures LLC   2012 ID-SEC $380,590
ELITE SPORTS ENTERPRISES, INC.   2015 VA-SEC $22,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
Elite Management Holdings Corp. and MJM Enterprises LLC   2014 CFTC $10,000,000
Elite Investment Advisors, LLC   2018 MO-SEC $20,000
Elite Group Financial, LLC   2015 IL-SEC $5,000
Elite Group Financial, LLC   2016 IL-SEC $5,000
Elite Business Strategies   2017 MT-SEC $82,200
Elish & Elish Inc.   2017 PA-BKG $5,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Elephas Investment Management Ltd.   2019 CFTC $160,000
Electronic Transaction Clearing Inc.   2018 SEC $80,000
EKN Financial Services Inc.   2006 FINRA $200,000
Ekholm Wealth Management   2015 CA-DFPI $23,260
EK Marketing, Inc.   2012 MO-SEC $12,000
EJZ Investments, LLC   2014 WA-FIN $6,500
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Egan-Jones Ratings Company   2013 SEC $30,000
eFox.net, Inc.   2004 MD-SEC $165,000
EFG Asset Management (Americas) Corp.   2019 SEC $62,505
Efficient Creation Innovations, Inc. aka ECI and Broit Light   2012 MN-FIN $50,000
Edwin Shaw LLC   2018 SEC $544,744
Edward Jones & Co., LP Jones Financial financial services 2004 FINRA $300,000
Edward Jones & Co. LP Jones Financial financial services 2014 NH-BSR $750,000
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Edward Jones Jones Financial financial services 2010 MT-SEC $100,000
Edward Jones Jones Financial financial services 2004 FINRA $25,181
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 SEC $100,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2011 IN-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2010 ME-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 FINRA $13,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2009 FINRA $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2005 FINRA $300,000
Edward D. Jones & Co. LP Jones Financial financial services 2015 SEC $20,000,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
Edward D. Jones & Co. LP Jones Financial financial services 2016 PA-BKG $135,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2010 MO-SEC $40,500
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
EDI Financial Inc.   2008 TX-SEC $17,500
Edge Trading, LLC   2017 NJ-AG $1,000,000
Edge Financial Technologies, LLC   2020 CFTC $145,200
Edge Business Services, Inc.   2001 AZ-SEC $10,000
EDGA Exchange, Inc. and EDGX Exchange, Inc.   2015 SEC $14,000,000
EDG Management Company, LLC   2020 SEC $1,026,642
Edelweiss Financial Services Limited   2012 SEC $568,347
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.