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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Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Southeast Investments, N.C., Inc.   2016 WA-FIN $30,000
All Wave Engineering, Inc.   2016 WA-FIN $15,000
Dystopia Rising, LLC   2016 WA-FIN $12,000
TreeFree Biomass Solutions, Inc.   2016 WA-FIN $20,000
TVDeeBee, Inc.   2015 WA-FIN $12,500
JRS Investments and Wealth Preservation, LLC   2015 WA-FIN $6,346
Leland Energy, Inc. et al.   2015 WA-FIN $105,000
Saves, Inc.   2015 WA-FIN $5,000
Samson Energy Group, LLC   2015 WA-FIN $5,750
Upstream Solutions, LLC   2015 WA-FIN $18,000
Moe Investment Management, LLC   2015 WA-FIN $21,000
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
Mongolia Holdings, Inc.   2015 WA-FIN $12,500
Runaway Hearts Productions, LLC and Canyon Sands Productions, Inc.   2015 WA-FIN $8,000
Hydro Alternative Energy, Inc.   2015 WA-FIN $75,000
Gulftex Operating, Inc. and Frenchtown Acres, LLC   2014 WA-FIN $17,000
Your Local Market, LLC   2014 WA-FIN $10,000
Milestone Life Settlement Fund, LLC et al.   2014 WA-FIN $17,000
Ashland Partners L.P.   2014 WA-FIN $30,000
Armadillo Energy, Inc.   2014 WA-FIN $23,000
Cirrus Partners, Inc.   2014 WA-FIN $10,000
MRG International, Inc.   2014 WA-FIN $10,000
Adams Financial Concepts, LLC   2014 WA-FIN $15,000
Global Asset Research and Recovery   2014 WA-FIN $11,000
Pacific West Securities, Inc.   2014 WA-FIN $25,000
EJZ Investments, LLC   2014 WA-FIN $6,500
New Earth Renewable Energy Inc.   2013 WA-FIN $15,000
SPF, INC   2013 WA-FIN $10,000
Ra Ghala Corporation, AuJeune Corporation   2013 WA-FIN $6,500
Pangean Energy, LLC   2013 WA-FIN $12,000
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC   2013 WA-FIN $7,500
Blue Chip Focus Fund, LP et al.   2013 WA-FIN $30,000
Yofast, LP   2013 WA-FIN $15,000
Dinotech Corp.   2013 WA-FIN $10,000
Thome Financial Management, LLC   2012 WA-FIN $17,500
Dream Dinners, Inc.   2012 WA-FIN $12,375
Financial Services International Corp.   2012 WA-FIN $40,000
Brunhaver Financial Services, LLC   2012 WA-FIN $10,000
Better World Materials Inc.   2012 WA-FIN $10,000
Comfort Dental Group, Inc.   2012 WA-FIN $7,688
TBOC, LLC   2012 WA-FIN $8,500
Horizon Commercial Real Estate Funding, Inc. and Sunshine Inn, Inc.   2012 WA-FIN $32,500
Gigapix Studios, Inc.   2012 WA-FIN $6,000
BlueRay Technologies, LLC et al.   2012 WA-FIN $12,500
T&H Northwest, LLC   2012 WA-FIN $22,500
Market4Cast Hedge Fund, LP   2011 WA-FIN $11,000
ECO Motor Company, Inc.   2011 WA-FIN $15,000
Vlad Investments, LLC   2011 WA-FIN $6,350
Texas State Energy Corp.   2011 WA-FIN $15,000
Fairfield Energy Inc. et al.   2011 WA-FIN $11,500
Tradeology.com, Inc.   2010 WA-FIN $7,000
Meridian Mortgage Investors Fund V, LLC et al.   2010 WA-FIN $190,000
bVisual, S.A. and bVisual Group, Ltd.   2010 WA-FIN $16,000
CS Note Holdco, LLC   2010 WA-FIN $25,000
Dorothy of Oz, LLC   2010 WA-FIN $12,000
Iron Horse Petroleum, Inc.   2010 WA-FIN $11,000
Cherokee Gas Systems, Inc.   2010 WA-FIN $11,000
Olympic Coast Investment, Inc.   2010 WA-FIN $13,000
Pioneer Property Group, LLC and Queen's Court Building, LLC   2010 WA-FIN $5,000
Mike Watson Investments, LLC and Mike Watson Capital, LLC   2010 WA-FIN $30,000
Energy Automation Systems, Inc.   2010 WA-FIN $5,000
Progressive Energy Partners LLC et al.   2009 WA-FIN $51,500
L&L International Holdings, Inc.   2009 WA-FIN $10,000
Spellbinder Funding LLC   2009 WA-FIN $11,000
Valkyrie, Inc.   2009 WA-FIN $10,000
Peruvian Resources Management USA, LLC   2008 WA-FIN $39,791
James F. Reitan CFP LLC   2008 WA-FIN $5,000
Wortham Oil & Gas Enterprises, LLC   2008 WA-FIN $5,000
Wortham Oil & Gas   2008 WA-FIN $5,000
WOGE/WOG Ellison Well #1 Joint Venture   2008 WA-FIN $5,000
CMHCEH, LLC   2008 WA-FIN $5,000
M & W Charitable Foundation et al.   2008 WA-FIN $52,000
Chum Chum Game Company   2007 WA-FIN $5,000
Pine Canyon Enterprises, Inc.   2007 WA-FIN $10,000
Chesterfield Mortgage Investors, Inc.   2007 WA-FIN $5,000
Great Plains Financial, LLC   2007 WA-FIN $5,000
MCube Petroleum, Inc. et al.   2007 WA-FIN $147,505
Berkshire Resources LLC and Berkshire (4OL) LLP   2007 WA-FIN $9,000
Northwest Financial Group   2007 WA-FIN $13,950
Beacon Development Group   2007 WA-FIN $35,000
American Fiber Green Products, Inc.   2008 WA-FIN $5,000
North American Resource Group, Inc.   2006 WA-FIN $38,175
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Austin & Associates   2006 WA-FIN $30,000
LionHearted Entertainment, Inc.   2006 WA-FIN $15,000
Family First Advanced Estate Planning and Family First Insurance Services   2006 WA-FIN $50,000
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
Anthone Properties, LLC   2005 WA-FIN $60,000
Westwood Holdings, Inc.   2005 WA-FIN $21,000
Pacific Coast Investment Company   2005 WA-FIN $5,000
Runnymede Capital Partners and Runnymede Capital Management   2005 WA-FIN $15,000
Millennium Marketing and Management, LLC   2005 WA-FIN $15,000
Financial & Estate Strategies, Inc.   2005 WA-FIN $45,000
Mana, LLC   2005 WA-FIN $10,000
MA Quik Framing Inc.   2005 WA-FIN $15,000
Newcastle Escrow Corporation   2005 WA-FIN $5,000
City Escrow, Inc.   2004 WA-FIN $12,000
DBH Growth Fund   2004 WA-FIN $15,000
Pacific Coast Investment Company   2004 WA-FIN $108,000
Lilac City Closing & Escrow LLC   2004 WA-FIN $5,000
Northwest Best Direct, Inc.   2004 WA-FIN $39,000
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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.