Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$88,756,002,782
Number of Penalty Records: 
6,714
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$13,529,353,962112
UBS$11,680,437,33364
Citigroup$8,177,245,73064
Allianz$6,523,100,0007
JPMorgan Chase$6,210,421,20673
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


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
Voice of Guo Media, Inc.   2022 AZ-CC $100,000
Luxury Management Group, LLC   2022 AZ-CC $70,000
Luxury Management Group, LLC and MTE 2013 Trust   2022 AZ-CC $768,606
Lear Capital, Inc.   2022 CA-LACA $2,750,000
Golden Signals LLC   2022 CFTC $2,613,276
Extreme Marketing Alliance LLC   2022 CT-SEC $10,000
Credit Suisse Securities Credit Suisse financial services 2022 FINRA $9,000,000
Goldstone Financial Group, LLC   2022 ID-SEC $10,000
Bluegrass Capital Advisors, LLC   2022 KY-FIN $25,500
Zenith Sterling Advisers LLC   2022 MO-SEC $15,000
Fango, LLC   2022 MO-SEC $83,919
TMTE, Inc. et al.   2022 MT-SEC $1,282,738
BlockFi Lending LLC   2022 MULTI-AG $50,000,000
Lear Capital, Inc.   2022 NY-AG $6,000,000
Interactive Brokers LLC Interactive Brokers Group financial services 2022 OK-SEC $15,000
Eugene Artisan Foods, LLC and Red Wagon Foods, Inc.   2022 OR-FIN $11,700
Jemma Investment Advisors, LLC dba Jemma Financial Services   2022 PA-BKG $5,000
Andalusian Wealth Management, LLC   2022 PA-BKG $25,000
Ameritas Advisory Services, LLC Ameritas Mutual Holding Company financial services 2022 SEC $4,628,194
Arthur Zaske & Associates, LLC   2022 SEC $15,000
Banyan Securities, LLC   2022 SEC $10,000
Church, Gregory, Adams Securities Corporation   2022 SEC $10,000
Gutt Financial Management, LLC   2022 SEC $25,000
Hinsdale Associates, Inc.   2022 SEC $25,000
J.K. Financial Services, Inc.   2022 SEC $10,000
N.V.N.G. Investments, Inc.   2022 SEC $15,000
Personal Financial Planning, Inc.   2022 SEC $25,000
Stone Run Capital, LLC   2022 SEC $25,000
The Winning Edge Financial Group, Inc.   2022 SEC $10,000
Wall Street Access   2022 SEC $97,523
Watermark Securities, Inc.   2022 SEC $25,000
BlockFi Lending LLC   2022 SEC $50,000,000
Wahed Invest, LLC   2022 SEC $300,000
CMG Capital Management Group, Inc.   2022 SEC $70,000
Comprehensive Capital Management, Inc.   2022 SEC $375,654
O.N. Investment Management Company   2022 SEC $1,238,653
tZERO ATS, LLC   2022 SEC $800,000
Leaf Group Ltd.   2022 SEC $325,000
OneStep Financial Services, LLC   2022 SEC $631,179
iInvestsolutions.com, LLC   2022 TN-SEC $10,000
Aptus Financial, LLC   2022 VA-SEC $6,000
Stock Management LLC dba Ben Heeb & Associates   2022 WA-SEC $15,000
NFN8 Group, Inc.   2022 AL-SEC $120,000
ICA Financial Services, LLC   2022 AZ-CC $190,000
American Financial Investments, LLC   2022 AZ-CC $19,724,875
My Trader Coin   2022 AZ-CC $1,237,747
TreyTrades LLC   2022 AZ-CC $89,425
D2D Financial, LLC   2022 AZ-CC $130,000
Marketing Dynamics, Inc.   2022 AZ-CC $104,216
Archimedes Foundation Trust   2022 AZ-CC $1,760,000
Global Capital and Equity LLC   2022 AZ-CC $466,500
AZ REl School, LLC and SFG Real Estate Holdings, LLC   2022 AZ-CC $19,371
Church Extension Loan Fund, Inc.   2022 AR-SEC $7,300
Sage Financial Design, Inc.   2022 CT-SEC $50,000
Safe Harbor Retirement Planners   2022 DE-SEC $6,500
Business Solutions Consulting, LLC   2022 FL-OFR $50,000
Brand Maxer, LLC   2022 FL-OFR $170,000
Shirtted, LLC   2022 FL-OFR $25,000
Paramount Financial Services, Inc. dba Live Abundant   2022 ID-INS $38,000
ST Invest LLC   2022 IL-SEC $9,950
East Fork Energy Partners, Inc.   2022 KY-FIN $5,000
Moreland Associates, LLC   2022 MA-SEC $10,000
ReAlpha Asset Management, Inc.   2022 MA-SEC $375,000
Chance Development, LLC   2022 MA-SEC $1,000,000
U.S. Data Mining Group   2022 MA-SEC $1,000,000
Alumni Ventures Group   2022 MA-SEC $750,000
Atherocor Corp. and Adgelin Medical, Inc   2022 MA-SEC $1,050,000
MadasConsulting, Inc. and DSM Enterprises, LLC   2022 MO-SEC $10,000
LimeLife USA LLC   2022 MT-SEC $10,000
Wesleyan Investment Foundation, Inc.   2022 NE-DBF $22,000
Ameritas Investment Co. Ameritas Mutual Holding Company financial services 2022 NV-SEC $15,000
Kalos Capital, Inc.   2022 NV-SEC $79,400
Hybrid Capital Group and The Fens Company and Peerless Hi Yield Realty Group   2022 NH-BSR $769,966
Esplanade Capital Partners I LLC   2022 NH-BSR $9,500
Scanwood Limited Inc. and AOS, Inc.   2022 NH-BSR $75,000
Alumni Ventures Group   2022 NH-BSR $700,000
Seaview Global Advisors LLC   2022 NJ-BOS $500,000
BRC Neighborhood Planning, LP   2022 PA-BKG $2,040,000
Buchert Ridge Community, Inc.   2022 PA-BKG $240,000
Women of Substance LLC   2022 PA-BKG $5,000
Limerick Financial Group, LLC   2022 PA-BKG $100,000
Platinum Tickets, LLC   2022 PA-BKG $25,000
Safe Investing Services   2022 PA-BKG $25,000
Wealth Protection Group, LLC   2022 SD-SEC $5,000
Wealth Plus of the Dakotas Inc.   2022 SD-SEC $12,500
Servant Wealth Management, LLC   2022 TN-SEC $5,000
Guardian Wealth Solutions, Inc.   2022 TN-SEC $6,000
Robinhood Financial LLC Robinhood Markets financial services 2022 VT-FIN $640,000
Eagle Strategies LLC   2022 VA-SEC $7,000
R2 Advisors, P.C. and M2 Advisors, Inc.   2022 VA-SEC $5,000
WA State Construction LLC   2022 WA-SEC $10,000
Stocktradefxt   2022 WA-SEC $21,250
Open Mind Generations   2022 WA-SEC $6,000
MVP Group Inc.   2022 WA-SEC $29,000
PrimeFX Pro   2022 WA-SEC $22,500
Yale Partners, LLC   2022 WA-SEC $5,000
Mondelez Global Mondelez International food products 2022 CFTC $16,000,000
Fintech Investment Group Inc. and Compcoin LLC   2022 CFTC $1,800,000
ED&F Man Capital Markets, Ltd.   2022 CFTC $3,250,000
Warrior Trading   2022 FTC $3,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.  Bank of America financial services 2022 FINRA $15,200,000
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.