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
DIVERSIFIED REAL ESTATE HOLDING LLC   2016 VA-SEC $10,000
PRESTON WEALTH ADVISORS, LLC   2016 VA-SEC $10,000
SKRIMP SHACK, LLC   2016 VA-SEC $15,500
Pelican's Snoballs VA LLC   2016 VA-SEC $15,000
Megadance USA Corp   2017 VA-SEC $7,500
PAWS & REMEMBER LLC   2017 VA-SEC $5,000
AMAZING FINISH, LLC   2017 VA-SEC $5,000
EXPANSION INDUSTRIES, LLC   2017 VA-SEC $22,000
MAXIMIZED LIVING HEALTH CENTERS LLC   2017 VA-SEC $35,000
KLINE FRANCHISING, INC.   2017 VA-SEC $19,000
Montessori School Franchising, LLC   2017 VA-SEC $15,000
BRIDGETOWN FRAGRANCES, INC.   2017 VA-SEC $5,000
Sugar Shack Donuts, LLC   2017 VA-SEC $8,000
BLOOP FROZEN YOGURT, LLC   2018 VA-SEC $45,000
COMMUNICLIQUE, INC.   2018 VA-SEC $10,980,923
DAVI NAILS SALON AND SPA, LLC   2018 VA-SEC $21,000
LARADA SCIENCES, INC.   2018 VA-SEC $15,500
37th Parallel Properties Investment Group, LLC   2018 VA-SEC $18,000
WINGS TO GO, INC.   2018 VA-SEC $7,500
BELLA BALLERINA FRANCHISING   2018 VA-SEC $6,500
RESULTS AUCTION, LLC   2018 VA-SEC $79,255
Lombard Advisers, Inc.   2019 VA-SEC $45,000
Downunder Horsemanship Franchising, LLC   2019 VA-SEC $6,000
Hartquist & Noblet, LLC   2019 VA-SEC $53,220
Moonlighting, Inc.   2019 VA-SEC $7,000
Biery, LLC d/b/a Madsen Donuts   2019 VA-SEC $27,000
Harvest Financial Group, LLC   2019 VA-SEC $7,500
World Trend Financial Planning Services, Ltd   2019 VA-SEC $40,000
SuperGlass Windshield Repair, Inc.   2019 VA-SEC $86,667
360 Tour Designs & Marketing, LLC   2019 VA-SEC $6,000
Iron Valley Real Estate, LLC   2019 VA-SEC $8,000
Clear Sky Financial, LLC   2019 VA-SEC $6,000
Dental Fix Rx, LLC   2019 VA-SEC $17,000
Slagel Investment Management   2019 VA-SEC $7,500
Lionsgate Investments, Incorporated   2019 VA-SEC $285,786
McLawhorn Financial Advisors, Inc.   2019 VA-SEC $13,000
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
Reye Partners Asset Management, LLC   2020 VA-SEC $6,000
HealthSource Chiropractic, Inc.   2020 VA-SEC $89,000
My Choice Hair, LLC   2020 VA-SEC $7,000
Capitol Securities Management, Inc.   2020 VA-SEC $100,000
SNC Capital Management Corporation d/b/a RCM Securities   2020 VA-SEC $5,000
Best Western International, Inc.   2020 VA-SEC $13,000
Master Networks, LLC   2020 VA-SEC $8,000
Skrimp Shack LLC   2020 VA-SEC $25,000
Surety Services LLC   2013 VT-FIN $150,000
Tucker Financial Services Inc.   2015 VT-FIN $644,886
People's Securities Inc.   2017 VT-FIN $22,500
D.A. Davidson and Co.   2018 VT-FIN $60,000
Stock Investment Management Inc.   2018 VT-FIN $15,000
Global Mining and Mint Corporation   2019 VT-FIN $125,000
Retirement and College Financial Services of Vermont LLC   2019 VT-FIN $35,000
Winthrop Investment Management Co.   2020 VT-FIN $11,250
Thornton Investment Management PLLC   2020 VT-FIN $30,000
Account Management LLC   2020 VT-FIN $80,000
3D Money, LLC et al.   2020 WA-FIN $13,312
Rhino Linings Corp.   2020 WA-FIN $5,937
Fortpoint Investment Management   2020 WA-FIN $83,600
Rchain Cooperative   2020 WA-FIN $65,000
Retirement Base Camp   2019 WA-FIN $10,000
Urban Traffic   2019 WA-FIN $35,000
Strix Leviathan I, LLC   2019 WA-FIN $18,000
Franchise Equity Group, Inc. and Franchise Equity Consortium   2019 WA-FIN $73,643
Pacific Rim Energy, Inc.   2019 WA-FIN $13,350
WebRotator, Inc.   2019 WA-FIN $65,000
New Wave Innovations Ltd.   2019 WA-FIN $12,500
Property Damage Appraisers, Inc.   2019 WA-FIN $6,000
North America Real Estate Investment Group, Inc.   2019 WA-FIN $6,000
Thomson Financial Advisors LLC   2019 WA-FIN $22,000
HRC Wealth Management LLC   2019 WA-FIN $12,000
AlderEgo Holdings, Inc. and Carfield Family, Inc.   2019 WA-FIN $35,000
Capital Energy Group LLC   2018 WA-FIN $31,000
Bayhill Advisors, Inc.   2018 WA-FIN $20,000
Pacific Watercraft Group, Inc.   2018 WA-FIN $5,500
Brisk Management, LLC   2018 WA-FIN $11,500
Moore Wealth Management, L.L.C.   2018 WA-FIN $6,500
Wetzel Energy Technology Company Inc. and Better Fuel North West, A WETCO Company, Inc.   2018 WA-FIN $250,000
Investment Hiker, LLC   2018 WA-FIN $10,000
Larada Sciences, LLC   2018 WA-FIN $9,725
RealizedEquityServices LLC   2018 WA-FIN $32,500
VI Capital Management, LLC   2018 WA-FIN $12,500
Masters United 12 LLC et al.   2018 WA-FIN $5,000
Reign Capital Management, LLC   2017 WA-FIN $10,000
Aegis Oil, LLC and Aegis Disposal Systems, LLC   2017 WA-FIN $47,500
Oracle Stone Ltd.   2017 WA-FIN $32,000
InvestingCI, LLC   2017 WA-FIN $12,500
Northwest Crest, LLC and NW Crest Capital, LLC   2017 WA-FIN $10,000
Creative Money LLC   2017 WA-FIN $15,000
Binary Banc   2016 WA-FIN $12,000
MiniHYA Corp.   2016 WA-FIN $12,000
Doing Business, Inc.   2016 WA-FIN $60,000
Research Money Management, LLC   2016 WA-FIN $32,000
Yellowstone Capital, LLC and Bainbridge Views, LLC and Imperium Builder, LLC   2016 WA-FIN $30,000
Iverson Genetic Diagnostics, Inc.   2016 WA-FIN $70,000
Couch Oil & Gas, Inc.   2016 WA-FIN $21,500
Katana Capital, LLC   2016 WA-FIN $11,000
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
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.