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 Industrysort icon Year Agency Penalty Amount
Knuckleball Capital Management, LLC   2009 AZ-SEC $229,000
Whispering Winds Properties, L.L.C et al.   2009 AZ-SEC $16,633,570
Wolfepack Transportation, Inc. aka Wolfpack Transportation, Inc.   2009 AZ-SEC $448,043
The Greatest Only Divine Productions, L.L.C.   2009 AZ-SEC $353,000
DJL & Associates, L.L.C.   2009 AZ-SEC $67,849
The Kodiak Investment Group, L.L.C.   2009 AZ-SEC $382,475
Oasis of Wealth, Inc.   2009 AZ-SEC $53,315
Deluxe Designs International, LLC and Deluxe Live Productions   2009 AZ-SEC $3,225,744
Team Heat, LLC   2009 AZ-SEC $1,047,931
OLOF Enterprises, L.L.C.   2009 AZ-SEC $1,242,612
Iron Horse Petroleum, Inc.   2009 AZ-SEC $149,481
Sir Mortgage & Finance of Arizona, Inc.   2010 AZ-SEC $90,000
Cash 2 U, LLC and Dos Ninas, LLC and Par 3 Management, LLC   2010 AZ-SEC $3,143,755
Green Panel Corp. and Panelized Building Systems of Prescott, L.L.C.   2010 AZ-SEC $1,203,800
Nato Enterprises, LLC   2010 AZ-SEC $3,625,127
Financial American Corp.   2010 AZ-SEC $2,536,692
Motion DNA, Inc.   2010 AZ-SEC $650,712
Secure Resolutions, Inc.   2010 AZ-SEC $3,685,653
Elysium Capital Group, L.L.C.   2010 AZ-SEC $91,430
Elysium Capital Group, L.L.C.   2010 AZ-SEC $74,100
Sports Dimensions, Inc.   2010 AZ-SEC $5,000
Global Trading Partners, LLC   2010 AZ-SEC $5,000
Grand Canyon Land Company L.L.C. et al.   2010 AZ-SEC $753,655
La Bella Investments, LLC   2010 AZ-SEC $5,000
MJG Enterprises, Inc. dba Mike's Lock Club   2010 AZ-SEC $4,609,627
Adamas Investments, LLC   2010 AZ-SEC $690,125
Progressive Energy Partners, L.L.C. et al.   2010 AZ-SEC $312,721
Five Star Tree Service and Landscapes, LLC   2010 AZ-SEC $243,691
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
One Source Mortgage & Investments, Inc. and Strategic Equity Investments, LLC   2010 AZ-SEC $6,274,453
Barron Thomas Scottsdale, L.L.C. et al.   2010 AZ-SEC $10,051,294
CAA General Partnership   2010 AZ-SEC $2,929,858
Norstreet Portfolio, LLC   2010 AZ-SEC $1,452,599
B.Y.B. Entertainment, L.L.C.   2010 AZ-SEC $104,524
Charlevoix Homes LLC   2011 AZ-SEC $5,727,226
Five Star Capital Markets LLC   2011 AZ-SEC $5,677,226
Theodore J. Hogan & Associates, LLC   2011 AZ-SEC $2,253,310
Phoenician Entertainment, L.L.C.   2011 AZ-SEC $534,000
Plein Enterprises Incorporated dba Tri-Star Realty   2011 AZ-SEC $1,586,182
Assisted Living Development Company, Inc. et al.   2011 AZ-SEC $2,410,895
USDB Group Inc. aka US Deposit Brokers Group aka USDB   2011 AZ-SEC $606,325
New Rise Investments, L.L.C. and AZ Real Estate Group, L.L.C   2011 AZ-SEC $5,000
Silversprings Real Estate Development & Investments, L.L.C. et al.   2011 AZ-SEC $7,554,463
Mack Financial Group, LLC   2011 AZ-SEC $215,902
The Investment Advisory Group, L.L.C.   2011 AZ-SEC $13,200
U.S. Media Team, LLC   2011 AZ-SEC $116,260
C-Street Financial Group et al.   2011 AZ-SEC $874,260
Capital Oil & Gas, Limited   2011 AZ-SEC $732,000
CoolTrade, Inc.   2012 AZ-SEC $25,000
3-CG, LLC and Choice Property Group, LLC   2012 AZ-SEC $6,216,949
MAG T, Inc.   2012 AZ-SEC $2,370,455
RLGMAN Corp. and STABLE, LLC   2012 AZ-SEC $1,897,393
Echo Canyon LLC   2012 AZ-SEC $443,709
Comprehensive Cash Flow Funding, Inc. et al.   2012 AZ-SEC $1,253,122
Executive Real Estate Solutions, L.L.C.   2012 AZ-SEC $1,217,747
Southwest Biofuels, LLC   2012 AZ-SEC $730,711
Morgan Financial, L.L.C.   2012 AZ-SEC $72,784
Phoenix Funding, LLC   2012 AZ-SEC $58,905
Mountain State Power, Inc.   2012 AZ-SEC $20,000
A.L. Russell & Associates LLC and Re-Star LLC and Re-Star Holdings LLC   2012 AZ-SEC $2,016,570
Sterling Investments Group International, LLC   2012 AZ-SEC $129,000
Chazel Capital, Inc. and OFIR Mine Project, LP   2012 AZ-SEC $7,500
MT Explorations, LLC   2012 AZ-SEC $5,000
Tri-Core Mexico Land Development, LLC   2013 AZ-SEC $1,075,000
Real Estate Monster, LLC   2013 AZ-SEC $5,000
Innovative Construction, Inc. and Atlantic Lexus, Ltd.   2013 AZ-SEC $524,754
U.S. Media Team, LLC and Cell Wireless Corp.   2013 AZ-SEC $139,000
Earth Explorations, LLC   2013 AZ-SEC $449,600
True North Business Ventures LLC   2013 AZ-SEC $376,091
Parker Skylar &Associates, LLC   2013 AZ-SEC $1,992,000
Westcap Energy, Inc. dba Westcap Solar   2013 AZ-SEC $10,000
Radical Bunny, L.L.C.   2013 AZ-SEC $189,800,867
Horizon Partners, L.L.C.   2013 AZ-SEC $150,000
RSC Adventures, LLC   2013 AZ-SEC $6,500
Crystal Pistol Resources, LLC et al.   2013 AZ-SEC $5,249,316
International Air Medical Services, Inc.   2013 AZ-SEC $1,456,300
SDC Montana Consulting, LLC   2013 AZ-SEC $25,000
3T Options, LLC   2013 AZ-SEC $151,919
Promise Land Properties, LLC   2013 AZ-SEC $983,000
TF6 Advisors, LLC and Pacific Ventures & Trading LLC   2013 AZ-SEC $215,887
Arizona Gold Processing, LLC and AZGO, LLC   2013 AZ-SEC $1,242,275
TV Products, LLC fka US Loans Negotiation, LLC   2013 AZ-SEC $185,734
Weldon LLC   2013 AZ-SEC $9,000
Hampton Capital Markets, LLC   2014 AZ-SEC $50,000
Lanesborough Financial Group, LLC   2014 AZ-SEC $759,725
Magdalena Homes, L.L.C. and Rotall Marketing Group L.L.C. and Todd Robert Homes, Inc.   2014 AZ-SEC $245,100
Denver Energy Exploration, LLC   2014 AZ-SEC $7,500
Damopa Investments, LLC and MLC Living Trust and Monika Catlin, LLC   2014 AZ-SEC $837,026
Neoteric Energy, Inc.   2014 AZ-SEC $10,000
Krauser Investment Group, LLC   2014 AZ-SEC $99,347
SEED Corp.   2014 AZ-SEC $2,674,654
Legacy Financial Advisors, LLC   2014 AZ-SEC $390,806
Catharon Software Corp.   2015 AZ-SEC $5,176,559
Lanesborough Financial Group, LLC   2015 AZ-SEC $90,910
Out of the Blue Processors, LLC dba Out of the Blue Processors II, LLC   2015 AZ-SEC $2,995,500
Red Mountain Funding, Inc.   2015 AZ-SEC $4,344,885
Investment Acquisitions Group LLC   2015 AZ-SEC $1,180,339
Deer Park Development Corp.   2015 AZ-SEC $892,630
Biltmore Wealth Advisors, LLC   2015 AZ-SEC $5,000
Deluge, Inc. and Hydrotherm Power Corp.   2016 AZ-SEC $11,194,254
Marchant International Resources, Inc.   2016 AZ-SEC $1,841,513
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.