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 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
Meroe Capital Group Ltd et al.   2021 AZ-SEC $992,980
The Joseph Project   2021 AZ-SEC $9,210,000
Arizona Acquisitions Group LLC   2021 AZ-SEC $505,900
Ecovista Development LLC and Ecovista Avondale LLC   2021 AZ-SEC $10,000
Wattenberg 1 LLC et al.   2021 AZ-SEC $488,880
Verdugo Gift Company   2021 AZ-SEC $6,988,143
All-Star Staffing, LLC   2021 ID-SEC $51,210
Region Home Buyers, LLC   2021 IN-SEC $5,000
Skytec Security Midwest LLC and Skytec Security Operations LLC   2021 MO-SEC $488,669
Joseph Stone Capital, LLC   2021 NH-BSR $305,000
FCG Advisors, LLC   2021 NJ-AG $250,000
MS Chamberlain Partners, Inc. et al.   2021 NJ-BOS $5,000
StratagemEq, Inc.   2021 NJ-BOS $110,000
The Short Interest, LLC and The Short Manager, LLC   2021 OR-FIN $25,000
Cunningham Energy, LLC   2021 SC-SEC $5,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2021 SD-SEC $20,000
Greenway Capital Management, LLC   2021 TN-SEC $5,000
PFM Management Services, Inc.   2021 TN-SEC $10,000
Form Advisory Group, LLC   2021 TN-SEC $6,000
Financial Planning Center, LLP   2021 TN-SEC $7,500
Independent Financial Group, LLC   2021 TX-SEC $75,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
BDT & Associates, Inc.   2021 VA-SEC $11,000
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
Haywood Securities (USA) Inc.   2021 AL-SEC $5,000
Grand Oak Enterprises, LLC   2021 AZ-SEC $239,000
OWNZONES Media Network, Inc.   2021 AZ-SEC $4,500,000
Cetera Investment Services LLC   2021 AR-SEC $50,000
StockCross Financial Services, Inc.   2021 CA-DFPI $100,000
Silver Star FX LLC dba Silver Star Live and Silver Star Live Software LLC   2021 CFTC $23,506,392
Tyson Foods, Inc. Tyson Foods food products 2021 CFTC $1,500,000
HDR Global Trading Limited et al.   2021 CFTC $50,000,000
Laino Group Limited d/b/a PaxForex   2021 CFTC $374,864
Credit Suisse Credit Suisse financial services 2021 CFTC $1,500,000
Amaggi Exportacao e Importacao Ltda.   2021 CFTC $175,000
Classic Energy LLC   2021 CFTC $585,000
Jax Acquisitions II LLC   2021 CT-BKG $100,000
Capital Management Group of Washington, D.C.   2021 DC-DISB $110,000
Robinhood Financial LLC Robinhood Markets financial services 2021 FINRA $69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2021 FINRA $11,650,000
Witter & Westlake Investments, Inc.   2021 KY-FIN $6,750
Encompass Financial Advisors, LLC   2021 KY-FIN $6,000
Clearleaf Finance, LLC   2021 KY-FIN $5,000
Remote Mowers, LLC   2021 KY-FIN $20,000
Ether Investment and Trading Group, LLC   2021 MD-AG $140,000
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.