Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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 Industry Yearsort icon Agency Penalty Amount
First Command Advisory Services, Inc.   2021 VA-SEC $20,500
F.C. Franchising Systems, Inc. d/b/a Fresh Coat   2021 VA-SEC $8,000
360 Painting, LLC   2021 VA-SEC $11,000
Gateway Financial & Estate Planning, Inc.   2021 WA-SEC $10,000
Svaram Group, Inc. and Svaram Global, LLC   2021 WA-SEC $6,000
Lasting Connections, LLC   2021 WA-SEC $5,000
SummerHaven Investment Management LLC   2021 CFTC $500,000
J Squared LLC   2021 CFTC $198,555
The Alista Group, LLC   2021 CFTC $2,242,162
Circle Society, Corp.   2021 CFTC $32,141,375
Negus Capital Incorporated   2021 CFTC $1,178,180
Coinbase Inc.   2021 CFTC $6,500,000
S&P Dow Jones Indices LLC S&P Global information technology 2021 SEC $9,000,000
Under Armour Inc. Under Armour apparel 2021 SEC $9,000,000
Fortem Resources, Inc.   2021 SEC $25,000
TruTankless, Inc.   2021 SEC $25,000
ShiftPixy, Inc.   2021 SEC $25,000
Rokk3r, Inc.   2021 SEC $50,000
Daniels Corporate Advisory Company, Inc.   2021 SEC $25,000
HQDA Elderly Life Network Corp.   2021 SEC $50,000
Asta Funding, Inc.   2021 SEC $50,000
Igen Networks Corp.   2021 SEC $25,000
Legacy Group, Inc.   2021 SEC $502,726
Students of Strength, Inc.   2021 SEC $222,517
VII Peaks Capital, LLC   2021 SEC $1,030,699
Emperor Investments, Inc.   2021 SEC $25,000
Centaurus Financial, Inc.   2021 SEC $1,281,396
Mason Investment Advisory Services, Inc   2021 SEC $975,057
Ettro Capital Management Corp.   2021 SEC $60,000
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.