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)
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Marchant International Resources, Inc.   2016 AZ-SEC $1,841,513
Franklin AAA Holdings, LLC   2016 AZ-SEC $62,426
Simply Smart Homes, LLC and Smart Enterprises, LLC   2017 AZ-SEC $123,750
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Hawkins Wealth Advisory LLC   2017 AZ-SEC $19,028
Infinity Fuels, Inc.   2017 AZ-SEC $47,795
Visionary Business Works, Inc. dba Fleetronix   2017 AZ-SEC $856,044
Tri-Core Companies, LLC et al.   2017 AZ-SEC $4,822,311
Wohl Capital Investment Group, LLC   2017 AZ-SEC $37,918
LoanGo Corp.   2017 AZ-SEC $265,000
Believing in Jesus Investments, LLC   2017 AZ-SEC $270,050
Caesar Investments, LLC   2017 AZ-SEC $472,378
Oak Capital Partners, LLC   2018 AZ-SEC $1,198,851
Dental Support Plus Franchise, LLC   2018 AZ-SEC $13,614,954
USA Barcelona Realty Advisors, LLC   2018 AZ-SEC $3,965,700
Clear Energy Group, LLC   2018 AZ-SEC $865,000
Guardian Wealth Management, LLC   2018 AZ-SEC $6,000
GenTecnics, LLC and iCorp LLC   2018 AZ-SEC $734,120
Delta FX Trade   2018 AZ-SEC $15,000
Howard Price Wealth Management, LLC   2018 AZ-SEC $806,994
DrHorsepower, Inc.   2018 AZ-SEC $166,149
Black Platinum Holdings, LLC and GSI Global, Inc.   2018 AZ-SEC $230,000
Wesleyan Investment Foundation, Inc.   2018 AZ-SEC $25,000
Leland Energy et al.   2018 AZ-SEC $3,372,537
Advanced Planning Concepts, LLC   2018 AZ-SEC $37,435
WMF Management, LLC et al.   2018 AZ-SEC $3,732,894
Imagine Enterprises, LLC   2019 AZ-SEC $1,217,793
Real Estate Finance Corp. and WIN Opportunity Fund, LLC   2019 AZ-SEC $3,668,565
Tital Funding Group 1, LLC and Titan Capital Holdings LLC   2019 AZ-SEC $39,740
CoverLugg LLC and Birdie Media LLC   2019 AZ-SEC $1,328,090
Concordia Financing Company, Ltd. and ER Financial & Advisory Services, LLC   2019 AZ-SEC $4,007,986
Pacific Capital Enterprises LLC   2019 AZ-SEC $1,326,872
Titan Capital Real Estate Fund I, LLC   2019 AZ-SEC $3,076,315
Partisan Alliance Corp.   2019 AZ-SEC $103,000
JG Enterprise, LLC   2019 AZ-SEC $19,772
BAIC, Inc.   2019 AZ-SEC $2,004,649
SoBell Corp.   2019 AZ-SEC $779,450
IDIAZ, LLC   2019 AZ-SEC $113,000
Wealth Creator Private Equity, LLC   2019 AZ-SEC $35,000
Native American Water, L.L.C. dba NATAWA et al.   2019 AZ-SEC $5,874,215
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC   2019 AZ-SEC $27,801,783
Skytrace, Inc.   2019 AZ-SEC $147,500
Trager, L.L.C.   2019 AZ-SEC $50,000
Whispering Creek Investments LLC   2019 AZ-SEC $1,214,923
The Credit Engineers, Inc.   2019 AZ-SEC $25,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
American Realty Partners , LLC et al.   2019 AZ-SEC $11,670,327
Corix Bioscience, Inc. et al.   2019 AZ-SEC $3,235,192
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Green Screen Partners, LLC et al.   2002 CA-DFPI $18,592,430
The Social Equity Group, Inc.   2004 CA-DFPI $9,000
Leedha, Inc. dba Flintridge Asset Management Co.   2005 CA-DFPI $55,056
Shemano Capital Management   2005 CA-DFPI $54,250
First Command Financial Planning, Inc.   2005 CA-DFPI $470,959
Derivium Capital, LLC   2006 CA-DFPI $750,000
Whitcraft Capital Management, Inc.   2006 CA-DFPI $45,000
National Investment Consultants, Inc. and Pacific Best Group Ltd.   2006 CA-DFPI $2,021,500
Capstone Investments   2006 CA-DFPI $50,000
Bancroft Ventures Ltd.   2006 CA-DFPI $14,300,000
Benchmark Financial Services, Inc.   2007 CA-DFPI $100,000
TransCoastal Partners, LLC   2007 CA-DFPI $25,000
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Monterey Bay Securities, Inc.   2008 CA-DFPI $300,231
Diamond S Oil, Inc., Masada Petroleum LLC   2008 CA-DFPI $25,000
Cogar Financial Services, Inc.   2008 CA-DFPI $1,000,000
Blueray Technologies L.L.C. and Blue Ray Technologies, Inc.   2008 CA-DFPI $50,000
Super Absorbent Co., Synchronized Funding, LLC   2010 CA-DFPI $42,650,000
Bridge Harbor Management, Inc. and Creative Insurance Concepts, Inc.   2010 CA-DFPI $11,780,076
Jorge Romero Investments, Inc. and Maximum Return Investments, Inc.   2011 CA-DFPI $2,840,868
Leland Energy, Inc. et al.   2011 CA-DFPI $1,417,477
Big Sky Motion Pictures, L.L.C. et al.   2011 CA-DFPI $185,000
Visionary Group Holdings, Inc.   2011 CA-DFPI $1,285,750
Santa Rita Partners, Inc.   2011 CA-DFPI $33,846
Alpine Pictures, Inc.   2011 CA-DFPI $100,000
Dorothy of Oz, LLC dba Box Office Productions III, LLC   2011 CA-DFPI $150,000
Rome Finance Co. (GA), LLC   2011 CA-DFPI $250,000
Channel Investments et al.   2011 CA-DFPI $165,000
Technology Communication Management, L.L.C. et al.   2012 CA-DFPI $1,553,235
SmartWear Technologies, Inc.   2012 CA-DFPI $21,420,639
Applied Digital Technologies, Inc.   2012 CA-DFPI $8,000,000
Vericorp, Inc.   2012 CA-DFPI $8,200,000
Pursol Solar System, Inc.   2012 CA-DFPI $2,905,201
CanAm Capital Corp. et al.   2012 CA-DFPI $17,860,000
Alpha Capital Partners, LLC   2012 CA-DFPI $11,000
Walker Financial Advisors, Inc.   2013 CA-DFPI $27,600
Turan Petroleum, Inc. and NRG Resources, Inc.   2013 CA-DFPI $10,000
Hayes and Associates Accountancy Corp.   2013 CA-DFPI $10,000
Aztec Capital, LLC   2013 CA-DFPI $10,125
Lighthouse Real Estate Consulting, LLC et al.   2013 CA-DFPI $45,000
Artience Capital Management, LLC   2013 CA-DFPI $10,000
Rama Capital Partners, LLC   2013 CA-DFPI $35,000
C.M.A.C International, Inc.   2013 CA-DFPI $195,993
Highland Capital Group, Inc.   2013 CA-DFPI $10,000
Pentultimate Associates, LLC and Family Values Financial Services   2014 CA-DFPI $37,000
Gunderson Capital Management, Inc.   2014 CA-DFPI $65,000
Protege Financial & Insurance Service, Inc. et al.   2014 CA-DFPI $38,200,000
Darel Baer Investment Advisory LLC   2014 CA-DFPI $13,500
Stirling Capital Management   2014 CA-DFPI $6,500
TAK Consulting LLC   2014 CA-DFPI $37,905
Synergy Oil, LLC   2014 CA-DFPI $20,400,047
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.