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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
DS VI, LLC and DS VII, LLC and DS X, LLC and DS XII, LLC   2019 IN-SEC $5,000
Duff & Phelps Investment Management Co., Inc   2001 SEC $854,161
Duke and Duke LLC   2021 NJ-BOS $130,473
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Duncan-Williams, Inc   2015 SEC $250,000
Dunes Securities Corporation   2017 SC-SEC $12,000
Dunham & Associates Investment Counsel, Inc.   2006 SEC $150,000
Dupree Financial Group, LLC   2016 SEC $25,000
Dynamic Intelligence, Inc.   2018 SEC $228,552
Dynamic Trading Management LLC   2021 SEC $10,000
DynamicDaytrader.com   2000 SEC $55,107
Dystopia Rising, LLC   2016 WA-FIN $12,000
E B Germany & Sons, LLC   2014 IN-SEC $79,150
E Net Speculation Ltd.   2004 CFTC $50,000
E-Commerce Network.com, LLC and Wealth Systems, Inc.   2005 MD-SEC $15,000
E-Metal Merchants, Inc.   2008 CFTC $9,042,241
E-Slate, Inc.   2018 CFTC $11,183,497
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-Trade Securities, LLC Morgan Stanley financial services 2008 FINRA $500,000
E-Z Roadside, LLC   2013 HI-SEC $10,000
E.C.O. Holdings, Corp.   2014 IL-SEC $10,000
E.J. Sterling LLC   2015 OK-SEC $5,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
E*TRADE Securities LLC Morgan Stanley financial services 2011 MULTI-FIN $5,000,000
E*Trade Securities LLC Morgan Stanley financial services 2021 NH-BSR $5,000
E&H Investment Services, LLC   2021 SC-INS $20,975
Eagle Communications, Inc. and Eagle One Financial & Tax, LLC   2006 AZ-SEC $895,000
Eagle Market Makers Inc.   2012 CFTC $223,000
Eagle Market Makers, Inc.   2019 CFTC $350,000
Eagle Strategies LLC   2020 SEC $101,090
Eagle Strategies LLC   2011 IL-SEC $21,500
EagleEye Asset Management   2013 CFTC $600,000
Early Detection Centers Inc. and Johnathon Roberts, Inc.   2001 AZ-SEC $210,000
Earn Like a Pro, LLC   2014 MO-SEC $13,534
Earth Energy Exploration, Inc.   2012 CO-SEC $414,719
Earth Explorations, LLC   2013 AZ-SEC $449,600
EARTHWALK COMMUNICATIONS, INC.   2006 VA-SEC $60,000
East Coast Investments   2013 SC-SEC $12,500
East Fork Energy Partners, Inc.   2010 KY-FIN $5,000
East Side Holdings II   2014 SEC $157,010
EASTCORP BUSINESS SERVICES   2009 VA-SEC $17,500
Easterday Exploration, Inc.   2006 MO-SEC $5,000
Eastern Energy Corp.   2003 MN-FIN $8,000
Eastside Financial Advisors LLC   2021 SEC $10,000
Easy Money Auto Leasing, Inc. et al.   2002 AZ-SEC $1,104,100
Easy Street Financial Group, Inc.   2006 AZ-SEC $8,535,467
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
EB Financial Group, LLC   2012 SEC $310,499
EBN Marketing, LLC   2014 MD-SEC $20,000
eBX LLC   2012 SEC $800,000
Echo Canyon LLC   2012 AZ-SEC $443,709
eCity, Inc.   2012 MO-SEC $29,000
ECO Acquisitions, LLC   2014 IL-SEC $10,000
ECO Motor Company, Inc.   2011 WA-FIN $15,000
Ecosystem Investment Partners LLC   2018 SEC $75,000
Ecoval Dairy Trade, Inc.   2011 CFTC $1,425,000
Ecovista Development LLC and Ecovista Avondale LLC   2021 AZ-SEC $10,000
ECP Manager LP   2019 SEC $122,656
ED Capital Management, LLC   2019 SEC $75,000
Edelman Financial Services LLC   2006 IL-SEC $5,700
Edelweiss Financial Services Limited   2012 SEC $568,347
EDG Management Company, LLC   2020 SEC $1,026,642
EDGA Exchange, Inc. and EDGX Exchange, Inc.   2015 SEC $14,000,000
Edge Business Services, Inc.   2001 AZ-SEC $10,000
Edge Financial Technologies, LLC   2020 CFTC $145,200
Edge Trading, LLC   2017 NJ-AG $1,000,000
EDI Financial Inc.   2008 TX-SEC $17,500
Educators Financial Services, Inc.   2021 SEC $790,365
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2010 MO-SEC $40,500
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
Edward D. Jones & Co. LP Jones Financial financial services 2015 SEC $20,000,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
Edward D. Jones & Co. LP Jones Financial financial services 2016 PA-BKG $135,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 SEC $100,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2011 IN-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2010 ME-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 FINRA $13,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2009 FINRA $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2005 FINRA $300,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Edward Jones Jones Financial financial services 2010 MT-SEC $100,000
Edward Jones Jones Financial financial services 2004 FINRA $25,181
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Edward Jones & Co. LP Jones Financial financial services 2014 NH-BSR $750,000
Edward Jones & Co., LP Jones Financial financial services 2004 FINRA $300,000
Edwin Shaw LLC   2018 SEC $544,744
Efficient Creation Innovations, Inc. aka ECI and Broit Light   2012 MN-FIN $50,000
EFG Asset Management (Americas) Corp.   2019 SEC $62,505
eFox.net, Inc.   2004 MD-SEC $165,000
Egan-Jones Ratings Company   2013 SEC $30,000
Eidelman Financial Management, Inc.   2008 MO-SEC $10,000
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
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.