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
FNY Partners Fund LP   2020 CFTC $450,000
Marex North America LLC   2020 CFTC $250,000
Marex Spectron International Limited   2020 CFTC $120,000
EOX Holdings LLC   2020 CFTC $120,000
Futures International LLC   2020 CFTC $120,000
OTC Europe LLP   2020 CFTC $120,000
Sukarne SA de CV   2020 CFTC $35,000
The Hansbury Group, LLC   2020 CT-BKG $5,000
Quint Wealth Management, Inc.   2020 CT-BKG $5,000
Boomerang Capital, LLC   2020 CT-BKG $5,020
Solace Investments, LLC   2020 CT-BKG $300,000
Wilmington Capital Securities, LLC   2020 CT-BKG $11,275
Pathmaker Solutions, LLC   2020 DE-AG $100,000
Wealth Management of Kentucky Inc.   2020 KY-FIN $5,000
Green Square Capital Louisville LLC   2020 KY-FIN $25,000
Crossroads Community Church Inc.   2020 KY-FIN $10,000
Ionx Capital Holdings Inc.   2020 KY-FIN $10,000
Kelcas Corporation et al.   2020 KY-FIN $5,000
DMK Advisor Group, Inc.   2020 MO-SEC $5,000
Conestoga Trust   2020 MO-SEC $10,000
V Wealth Advisers, LLC   2020 MO-SEC $7,500
Mascoma Wealth Management LLC   2020 NH-BSR $7,500
DAI Securities LLC   2020 NH-BSR $5,000
AEI Net Lease Portfolio XIII DST   2020 NH-BSR $5,000
Access Investment, LLC   2020 NH-BSR $7,500
Financial Planning Advisors LLC   2020 NJ-BOS $150,000
Blue Water Financial, LLC   2020 PA-BKG $40,000
Haddon Wealth Management LLC   2020 PA-BKG $25,000
Winston Reed Investments LLC   2020 SEC $255,850
Benjamin F. Edwards & Company, Inc.   2020 SEC $1,366,551
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc.   2020 SEC $1,305,660
Summit Financial Group, Inc.   2020 SEC $1,206,882
Capitol Securities Management, Inc.   2020 SEC $203,414
Tradenet Capital Markets Ltd.   2020 SEC $130,000
EDG Management Company, LLC   2020 SEC $1,026,642
Kik Interactive Inc.   2020 SEC $5,000,000
Great Plains Trust Company, Inc.   2020 SEC $300,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc.   2020 SEC $250,000
Manitex International, Inc. et al.   2020 SEC $485,000
Kroll Bond Rating Agency Inc.   2020 SEC $2,010,000
Creative Financial Designs, Inc.   2020 SEC $890,240
Hancock Whitney Investment Services, Inc.   2020 SEC $2,337,792
Funding the Gap, LLC   2020 SEC $30,000
SoluTech, Inc.   2020 SEC $25,000
Finser International Corporation   2020 SEC $70,000
Platinum Wealth Partners, Inc.   2020 SEC $1,330,847
Morgan Wilshire Securities, Inc.   2020 SEC $179,017
Palmer Square Capital Management LLC   2020 SEC $450,000
RCI Hospitality Holdings, Inc.   2020 SEC $400,000
Liberty Roe Capital LLC   2020 VA-SEC $8,000
Blue Gold co LC   2020 WA-SEC $11,250
Unikrn Inc.   2020 WA-SEC $310,000
Signal Capital Management LLC   2020 WA-SEC $5,000
REACH Genetics Inc.   2020 WA-SEC $10,000
Dragonchain, Inc.   2021 WA-SEC $60,000
Wesleyan Investment Foundation   2021 WA-SEC $11,500
Fiduciary Investment Funds, LLC   2021 SD-SEC $7,500
Fiduciary Investment Funds, LLC   2021 ND-SEC $7,500
Retire Happy, LLC et al.   2021 MO-SEC $5,596,783
Bolton Securities Corporation   2021 SEC $224,994
World Tree Financial, LLC   2021 SEC $647,947
Sun State Property Preservation, LLC and Wattenberg, LLC   2021 AZ-SEC $901,030
Chrysology Capital Group, L.L.C.   2021 AZ-SEC $10,000
The Joseph Project   2021 AZ-SEC $75,000
Performance Arbitrage Company, Inc. et al.   2020 AZ-SEC $653,191
Saba Tooth Tiger, LLC dba Saba Investments   2020 AZ-SEC $1,412,099
Smart Acquisitions, L.L.C. and Smart Enterprises, L.L.C. and Simply Smart Homes, L.L.C.   2020 AZ-SEC $60,000
Business Owners Tax Relief LLC   2020 AZ-SEC $4,674,873
Smith & Cox, LLC et al.   2020 AZ-SEC $7,558,866
Priority Wealth Advisors, Inc.   2020 CA-DFPI $10,000
Doctors Associates LLC dba Subway   2020 CA-DFPI $410,000
Neighborhood Networks Publishing, Inc.   2020 CA-DFPI $10,000
Southwest Services, L.L.C.   2020 CFTC $740,968
TFS-ICAP LLC and TFS-ICAP Ltd.   2020 CFTC $7,000,000
Volumetric Fund, Inc.   2021 CT-BKG $10,000
Financial Vision Advisory Services, LLC   2020 CT-BKG $5,375
American Alternative Investments, LLC   2020 ID-SEC $5,250
Lead Point Wealth Management, LLC   2021 KY-FIN $10,000
Tactical Wealth Management LLC   2020 KY-FIN $5,000
Biogenic, Inc.   2020 MI-SEC $20,000
Capsource, Inc.   2020 MI-SEC $110,000
Black Box Fund   2020 MI-SEC $20,000
11th Hour Funding, LLC   2020 MI-SEC $20,000
Accura Transaction Management, LLC   2020 MI-SEC $10,000
Environ-Chem Inc.   2020 MN-FIN $5,067
Beacon Capital Distributors, Inc.   2020 MO-SEC $6,000
MKT Investments, LLC   2021 NH-BSR $17,500
Cantone Research, Inc.   2020 NJ-BOS $10,000
First Standard Financial Company, LLC   2020 NJ-BOS $75,000
iFinex Inc. et al.   2021 NY-AG $18,500,000
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
Practical Wealth Advisors, LLC   2020 PA-BKG $25,000
Secure Money Advisors   2020 PA-BKG $200,000
Gordon Fed Financial   2020 PA-BKG $6,000
Gerring Capital Partners, LLC   2020 PA-BKG $40,000
Kadee, LLC and Crossroads Investments, LLC   2021 SC-SEC $36,267
Winslow and Evans & Crocker, Inc.   2021 SEC $1,851,787
Premier Holding Corp.   2021 SEC $9,691,500
Lightspeed Trading, LLC   2021 SEC $100,000
Wireline, Inc.   2021 SEC $650,000
ConTXT, Inc   2021 SEC $571,153
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.