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
Eisenstark Advisory Inc. and J.N.J. Capital Management Inc.   2012 NJ-BOS $940,000
EJZ Investments, LLC   2014 WA-FIN $6,500
EK Marketing, Inc.   2012 MO-SEC $12,000
Ekholm Wealth Management   2015 CA-DFPI $23,260
EKN Financial Services Inc.   2006 FINRA $200,000
Electronic Transaction Clearing Inc.   2018 SEC $80,000
Elephas Investment Management Ltd.   2019 CFTC $160,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group   2008 SEC $6,417,122
Elish & Elish Inc.   2017 PA-BKG $5,000
Elite Business Strategies   2017 MT-SEC $82,200
Elite Group Financial, LLC   2015 IL-SEC $5,000
Elite Group Financial, LLC   2016 IL-SEC $5,000
Elite Investment Advisors, LLC   2018 MO-SEC $20,000
Elite Management Holdings Corp. and MJM Enterprises LLC   2014 CFTC $10,000,000
Elite Manufacturing, LLC   2010 CT-SEC $15,000
ELITE SPORTS ENTERPRISES, INC.   2015 VA-SEC $22,000
Elite Ventures LLC   2012 ID-SEC $380,590
Eljay Investment Company   2012 OR-FIN $5,000
Elliot & Associates Wealth Management Inc.   2013 FL-OFR $12,375
Elm Partners Management LLC   2018 SEC $75,000
Elray Resources, Inc.   2016 SEC $50,000
Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC   2012 CFTC $5,400,000
Elysium Capital Group, L.L.C.   2010 AZ-SEC $91,430
Elysium Capital Group, L.L.C.   2010 AZ-SEC $74,100
EM Capital Management, LLC?   2012 SEC $20,000
Embree Financial Group Inc.   2021 SEC $97,523
Emerald Worldwide Holdings, Inc.   2006 CFTC $3,433,721
Emerging Technologies Development Co. and Emerging Technologies Investment Group, L.L.C.   2006 MO-SEC $110,845
Emerson Capital Corp.   2014 IL-SEC $5,500
EMF Financial Products, LLC   2009 CFTC $4,000,000
EMI Sun Village, Inc. et al.   2007 ID-SEC $40,000
Emini Experts, LLC and Capital Trading Concepts LLC   2016 CFTC $2,795,901
Emmet & Co., Inc.   2005 FINRA $40,000
Emperor Investments, Inc.   2021 SEC $25,000
Empire Stock Transfer Inc.   2014 SEC $50,000
Empire Stock Transfer, Inc.   2016 SEC $154,239
Empire Wine & Liquor Superstore CT, LLC   2018 CT-SEC $5,000
EMS Capital LP   2019 SEC $317,415
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding   2002 SEC $4,460,634
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Encompass Financial Advisors, LLC   2021 KY-FIN $6,000
Encompass Wealth Management, LLC   2017 KY-FIN $7,000
Encore Energy, Inc.   2018 KY-FIN $20,000
Endeavor Management Solutions LLC   2017 ME-SEC $40,000
Endeavor Management Solutions, LLC   2018 CT-SEC $100,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Energex Systems, Inc. et al.   2013 NJ-AG $11,200,000
Energy Automation Systems, Inc.   2007 CT-SEC $25,000
Energy Automation Systems, Inc.   2008 MD-SEC $100,000
Energy Automation Systems, Inc.   2010 WA-FIN $5,000
Energy Group International Inc.   2001 OR-FIN $5,000
Enfinium Pty Ltd   2012 CFTC $80,000
Englebert Financial Advisors, LLC   2020 PA-BKG $10,000
Enigma MPC   2020 SEC $500,000
Ensconce Data Technology Inc.   2014 NH-BSR $12,500
Ensentech, Inc. and Hydro-Clean Fuel Systems, Inc.   2006 WA-FIN $5,000
Enskilda Futures Limited   2013 CFTC $125,000
Enskilda Futures Ltd.   2011 CFTC $150,000
EnStyle Wedding Designs International, LLC   2009 VA-SEC $50,000
ENTERRA ENERGY, LLC   2008 VA-SEC $255,000
enTerra Seven, LLP   2008 VA-SEC $20,000
EnviraTrends, Inc.   2015 SEC $150,000
Environ-Chem Inc.   2020 MN-FIN $5,067
Envision Capital Management, Ltd.   2011 SEC $100,000
Enviso Capital LLC   2017 SEC $50,000
Envit Capital Holdings, Inc.   2011 KY-FIN $5,000
Envit Capital, LLC   2011 KY-FIN $5,000
Envit Holdings, Inc.   2011 KY-FIN $5,000
Envoy Advisory, Inc.   2017 SEC $51,892
Enzyme Environmental Solutions, Inc.   2011 SEC $371,135
EOX Holdings LLC   2020 CFTC $120,000
EPG Advisory LLC   2013 PA-BKG $10,000
Ephesians 6:11 LLC   2014 FL-OFR $15,000
Epic Equitable, LLC   2011 CO-SEC $99,700
Equal Earth, Inc.   2019 SEC $7,655,000
Equidate Inc.   2016 SEC $80,000
Equinox Fund Management LLC   2016 CFTC $5,654,004
Equinox Fund Management, LLC   2016 SEC $400,000
Equitas Capital Advisers LLC   2013 SEC $225,000
Equitec Proprietary Markets, LLC   2009 SEC $2,080,000
Equity Associates LLC   2013 OK-SEC $42,500
Equity Options Inc. of Bend   2013 OR-FIN $20,000
Equity Services Inc.   2019 SEC $587,017
Equity Services, Inc.   2009 SEC $300,000
Equity Services, Inc.   2011 FINRA $214,000
Equity Station, Inc.   2010 FINRA $25,000
EquityAlert.com, Inc.   2000 SEC $20,000
EquityAlert.com, Inc. and Innotech Corporation   2003 SEC $31,555
Equitystar Capital Management, LLC   2018 SEC $2,890,518
ERF Wireless Inc.   2014 SEC $50,000
Eric Hall & Associates, LLC   2018 SEC $54,761
Ernst & Associates, LLC   2016 MO-SEC $12,000
Ernst & Young LLP Ernst & Young business services 2008 SEC $2,918,987
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Erudite Systems, Inc. et al.   2006 IL-SEC $20,000
ESL Partners L.P. and ZAM Holdings L.P.   2008 DOJ_ANTITRUST $800,000
ESL Partners, L.P.   2008 FTC $525,000
ESS ENVIRONMENTAL, INC.   2009 VA-SEC $110,000
Essex Financial Services Inc.   2019 SEC $645,000
Essex Financial Services, Inc.   2017 SEC $183,181
Essex Financial Services, Inc.   2015 CT-SEC $25,000
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.