Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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
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
Solium Financial Services Morgan Stanley financial services 2021 DC-DISB $9,879
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
General Motors General Motors motor vehicles 2021 CA-AG $5,750,000
AG Processing Inc Ag Processing Inc. agribusiness 2021 CFTC $400,000
Volumetric Fund, Inc.   2021 CT-BKG $10,000
Lead Point Wealth Management, LLC   2021 KY-FIN $10,000
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
MKT Investments, LLC   2021 NH-BSR $17,500
iFinex Inc. et al.   2021 NY-AG $18,500,000
ACP Investment Group, LLC et al.   2021 NY-AG $6,871,904
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
Savannah Solar International, Inc. and Savannah Solar International, LLC   2021 VA-SEC $61,611
Strategic Wealth Partners, LLC   2021 VA-SEC $20,000
PV Wealth Advisors, LLC   2021 WI-FIN $204,737
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Catalyst Capital Advisors LLC   2020 CFTC $10,208,481
Mirae Asset Daewoo Co., Ltd.   2020 CFTC $700,000
Propex Derivatives Pty Ltd   2020 DOJ_CRIMINAL $1,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Enigma MPC   2020 SEC $500,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
Sica Wealth Management, LLC   2020 SEC $378,693
Fortress Investment Management, LLC   2020 SEC $104,097
Lone Star Value Management LLC   2020 SEC $100,000
BPU Investment Management, Inc.   2020 SEC $927,107
Cannell Capital, LLC   2020 SEC $150,000
Catalyst Capital Advisors, LLC   2020 SEC $10,508,481
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
Gain Capital UK Limited   2020 CFTC $491,671
FuturesFX   2020 CFTC $1,750,000
Amada Capital Management LLC   2020 CFTC $596,700
Argo Group International Holdings, Ltd.   2020 SEC $900,000
TSP Capital Management Group, LLC   2020 SEC $60,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Oxbow Advisors, LLC   2020 SEC $321,958
BitClave PTE Ltd   2020 SEC $29,744,197
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
1Globe Capital, LLC   2020 SEC $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
American Bondholders Foundation, LLC   2020 SEC $65,000
Everest Capital LLC   2020 SEC $3,208,226
Monsoon Capital, LLC   2020 SEC $100,000
Semper Capital Management, L.P.   2020 SEC $503,228
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Biltmore International Corporation   2020 SEC $125,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Eagle Strategies LLC   2020 SEC $101,090
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Old Ironsides Energy, LLC   2020 SEC $1,000,000
Cozad Asset Management, Inc.   2020 SEC $416,870
Boenning & Scattergood, Inc.   2020 SEC $205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
Naya Ventures, LLC   2020 SEC $40,000
BMA Securities, LLC   2020 SEC $333,537
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Navellier & Associates, Inc.   2020 SEC $37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.)   2020 SEC $3,500,000
International Investment Group, LLC   2020 SEC $35,000,000
The Lighthouse Events, LLC   2020 SEC $3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc.   2020 SEC $236,314
Hologram USA Networks Inc.   2020 SEC $22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc.   2020 SEC $1,031,270
ICOBox   2020 SEC $16,059,428
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Internet Escrow Services, Inc.   2020 AL-SEC $10,422
The Fortitude Foundation et al.   2020 AZ-SEC $1,386,024
Priority Wealth Advisors, Inc.   2020 AZ-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DFPI $52,047
Piara Pizza, LLC   2020 CA-DFPI $35,000
Trademark INT PTT AB   2020 CA-DFPI $7,500
Amada Franchise, Inc.   2020 CA-DFPI $10,000
Annett & Associates   2020 CO-SEC $7,000
North American Drilling Corporation   2020 CT-SEC $100,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Native American Energy Group, Inc.   2020 CT-SEC $100,000
Great Heritage Investments, LLC   2020 CT-SEC $20,000
ARO Equity, LLC   2020 CT-SEC $300,000
Wynn Investments LLC   2020 FL-OFR $7,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
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.