Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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
Abetterfinancialplan.Com, LLC   2020 SEC $581,962
ABCSP Inc.   2010 MD-SEC $35,000
ABC Financial Planning   2017 NH-BSR $15,000
Aaristo Commodities and Futures DMCC   2008 CFTC $100,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
AAA Venture Business Brokers, Ltd.   2014 IL-SEC $27,000
A&O Resource Management, Ltd.   2007 MN-FIN $6,000
A&O Life Fund, LLC et al.   2009 IL-SEC $20,000
A&F Financial Securities, Inc.   2011 CT-SEC $20,000
A&F Financial Securities, Inc.   2011 FINRA $125,000
A&A Trading, Inc.   2020 CFTC $495,329
A.R. Schmeidler & Co., Inc.   2013 SEC $1,011,564
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
A. Neff Associates   2017 PA-BKG $5,000
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC   2014 SEC $12,950,000
A Better Financial Plan LLC   2019 PA-BKG $490,000
99 Crossings LLC   2020 OR-FIN $50,000
911 RESTORATION FRANCHISE, INC   2015 VA-SEC $7,000
808 Investments LLC et al.   2009 TX-SEC $10,000
8000 Inc.   2015 SEC $6,500,000
7S Oil & Gas, LLC   2017 SEC $750,000
72Vest Level Three, LLC   2016 IL-SEC $5,000
7 Oaks Pharmaceutical Corp.   2014 SC-SEC $50,000
603 Financial, Inc. dba Goddard Financial Planning   2020 WA-SEC $15,000
5A Holdings, LLC   2018 MO-SEC $3,548,483
5 Star Investment Group, LLC   2015 IN-SEC $5,000
4X Solutions Inc.   2016 CFTC $10,980,904
4NExchange   2008 CFTC $480,000
4 L.I.F.E., Inc.   2008 CT-SEC $150,000
3T Options, LLC   2013 AZ-SEC $151,919
3D Money, LLC et al.   2020 WA-FIN $13,312
3C Advisors & Associates, Inc.   2016 SEC $7,500
39 Lispenard Project, LLC   2015 NY-AG $5,000
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
360 Painting, LLC   2021 VA-SEC $11,000
360 Financial, Inc.   2017 SEC $40,000
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
2946033 CANADA, Inc. dba The Mad Science Group   2013 MD-SEC $18,500
21ST. CENTURY TECHNOLOGIES LLC   2001 VA-SEC $5,000
21ST. CENTURY TECHNOLOGIES FUNDING   2001 VA-SEC $5,000
21st Sentry Technologies, Inc. and Futurecom Global, Inc.   2010 IL-SEC $20,000
21st Century Satellite Communications, Inc.   2001 SEC $6,110,736
21st Century Satellite Communications, Inc.   2002 AZ-SEC $267,000
21st Century Investing Advisors Corp.   2014 FL-OFR $7,500
212 Advisory Group, LLC   2019 GA-SEC $20,000
211 Ventures LLC   2013 SEC $2,300,000
21 Century Power   2001 OR-FIN $25,000
20th Century Jackson Equities, Inc.   2007 SEC $470,269
2 West, Inc., et al.   2016 SEC $2,025,179
1st Global Capital Corp.   2006 SEC $100,000
1st Discount Brokerage, Inc.   2012 SEC $40,000
1pool Ltd.   2019 CFTC $421,000
1Globe Capital, LLC   2020 SEC $200,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
100 Miles, LLC   2010 MD-SEC $20,000
1-800DAYTRADE.COM, Inc.   2000 FINRA $25,000
1-800-Flowers.com Franchise Co., Inc.   2014 MD-SEC $5,000
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.