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 Year Agencysort icon Penalty Amount
The Jaffe Financial Group Inc.   2019 FL-OFR $15,001
Wynn Investments LLC   2020 FL-OFR $7,000
Solium Financial Services LLC Morgan Stanley financial services 2020 FL-OFR $79,045
MacAndrews & Forbes MacAndrews & Forbes diversified 2013 FTC $720,000
ESL Partners, L.P.   2008 FTC $525,000
ValueAct Capital Partners   2007 FTC $1,100,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Caledonia Investments plc   2016 FTC $480,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Third Point LLC   2019 FTC $609,810
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Principia Investment Advisors, LLC   2013 GA-SEC $10,000
Littlefield Asset Management, Inc.   2013 GA-SEC $7,000
Investment Planning, LLC   2017 GA-SEC $5,000
LDI Holdings and TME Group Holdings   2018 GA-SEC $126,000
The Undetectables Movie, LLC   2018 GA-SEC $50,000
CSG Wealth Management   2018 GA-SEC $5,000
Derrick Management Inc.   2019 GA-SEC $25,000
212 Advisory Group, LLC   2019 GA-SEC $20,000
Blazer Financial Advisors, Inc.   2019 GA-SEC $5,000
Resonanceoptions   2019 GA-SEC $50,000
Power Supplies & Equipment Ltd.   2020 GA-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Vespers, LLC   2012 HI-SEC $230,000
Blazin' Enterprises, Inc. and Craft Enterprises, LLC   2012 HI-SEC $25,000
KRM Distributors, LLC   2012 HI-SEC $10,000
Pilar Investments LLC et al.   2012 HI-SEC $504,192
Opunui Water Company, LLC and Opunui Land and Water Company, LLC   2013 HI-SEC $273,000
CNE Enterprises, LLC   2013 HI-SEC $630,240
E-Z Roadside, LLC   2013 HI-SEC $10,000
Inkjet Plus, Inc.   2014 HI-SEC $50,000
Prosapia Financial LLC and Prosapia Capital Management LLC   2010 IA-INS $10,000
Fairfield Energy, Inc.   2013 IA-INS $10,000
Amazon Exploration LLC   2013 IA-INS $10,000
Voyager Financial Group, LLC   2013 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2014 IA-INS $10,000
Blazefly, Inc.   2018 IA-INS $186,968
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
International Currency Management, LLC   2000 ID-SEC $175,000
LinkNet, Inc. fka INFOLINK, Inc.   2000 ID-SEC $10,000
Morgan Sterling Currency Exchange, Inc.   2001 ID-SEC $5,000
Agricultural Services of America, Inc. and Agricultural Investments of America, Inc.   2001 ID-SEC $649,882
Premier Marketing & Investments, Inc.   2001 ID-SEC $40,000
NGS Trust   2002 ID-SEC $87,750
Anderson-David & Associates, Inc.   2002 ID-SEC $12,000
PrimeBuy Network.Com, Inc.   2002 ID-SEC $55,000
Avenue Capital Investment, Inc.   2003 ID-SEC $25,000
Galaxy Financial Services, Inc et al.   2003 ID-SEC $209,000
Lost Rivers Hospital District dba Lost Rivers Medical Center   2003 ID-SEC $5,000
Mortgage Underwriters, LLC   2003 ID-SEC $304,000
McDonald Investments, Inc.   2003 ID-SEC $25,000
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
Multi-Financial Securities Corp.   2004 ID-SEC $5,000
Idaho Big Sky Telecom   2005 ID-SEC $240,000
Big West Telecom Corp.   2005 ID-SEC $160,000
Leader Capital Corp.   2005 ID-SEC $32,825
Ultimate Ventures, Inc.   2005 ID-SEC $2,771,378
Salt Lake City Wireless, LLC aka Salt Lake Wireless, LLC   2005 ID-SEC $60,000
First Security Investor Services, Inc. and Van Kasper LLC   2005 ID-SEC $51,000
Arizona Idaho Mining, LLC   2005 ID-SEC $1,730,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 ID-SEC $415,000
First Wall Street Corp.   2006 ID-SEC $52,221
Seascape Management Co., LLC   2007 ID-SEC $23,000
EMI Sun Village, Inc. et al.   2007 ID-SEC $40,000
Impact, Inc. et al.   2007 ID-SEC $150,000
The BABCO Group, LLC   2007 ID-SEC $17,877
Capital Ventures LLC   2008 ID-SEC $5,020,000
Millennial Financial Group, Inc.   2009 ID-SEC $265,000
John Thomas Financial   2009 ID-SEC $5,000
Galaxy Coin, LLC   2009 ID-SEC $903,000
Idaho Development Group, Inc.   2010 ID-SEC $1,075,980
North American Capital Trust, LLC et al.   2010 ID-SEC $5,533,464
C&C Capital, LLC   2010 ID-SEC $15,000
Gold Mountain Management LLC   2010 ID-SEC $7,500
Sun Village Juan Dolio Associates, LLC   2010 ID-SEC $2,653,880
Wise Enterprises, LLC and Wise Lending, LLC   2010 ID-SEC $2,443,637
Densmore Financial Group, Inc.   2011 ID-SEC $10,000
Impact, Inc. et al.   2011 ID-SEC $3,238,505
Hopkins Financial Services, Inc.   2012 ID-SEC $250,000
Elite Ventures LLC   2012 ID-SEC $380,590
Fintegra, LLC   2012 ID-SEC $35,000
Strategic Capital Alternatives, LLC   2012 ID-SEC $5,000
Royal Wealth Management, Inc. dba Northstar Capital   2012 ID-SEC $20,000
Leland Energy, Inc.   2013 ID-SEC $180,000
Beacon Rock Investment Advisors, LLC   2013 ID-SEC $5,000
Primary Enterprises, Inc. dba Low Book Auto Sales   2014 ID-SEC $10,000
Consolidated Wealth Holdings, Inc.   2015 ID-SEC $34,325
Brookes Ventures, LLC dba Aulterra International   2016 ID-SEC $30,000
UCI Wealth Advisors LLC   2016 ID-SEC $19,700
Cache Private Capital Diversified Fund LLC   2017 ID-SEC $25,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Russ Trading Inc. and Cactus Partners LP   2017 ID-SEC $5,000
Allegis Investment Advisors, LLC   2017 ID-SEC $755,246
Garden State Securities, Inc.   2017 ID-SEC $10,000
Straight Line Investment Group LLC   2018 ID-SEC $8,000
First Financial Tax Group   2018 ID-SEC $5,750
KA Investments, Inc.   2018 ID-SEC $4,011,806
Conestoga Settlement Trust et al.   2018 ID-SEC $30,000
Performance Realty Management, LLC   2019 ID-SEC $570,800
Brooke's Ventures LLC   2020 ID-SEC $20,000
Pinnacle Plus Capital LLC   2020 ID-SEC $18,423
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.