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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
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
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
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
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
HDR Global Trading Limited et al.   2021 CFTC $50,000,000
Laino Group Limited d/b/a PaxForex   2021 CFTC $374,864
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
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
Cornerstone Asset Metals, LLC   2021 MN-FIN $10,225
Langmore Capital, LLC   2021 MN-FIN $10,225
First United Reserve, LLC   2021 MN-FIN $10,000
Swiss America Trading Corp.   2021 MN-FIN $15,292
Cutting Edge Supplements, LLC   2021 MO-SEC $107,853
Monarch Capital Investment Fund, LLC   2021 MO-SEC $763,958
WCO Holdings, LLC   2021 MO-SEC $100,000
Brendaleetrades.com   2021 MO-SEC $76,692
Green Clinic, LLC   2021 MO-SEC $52,000
Golden Genesis, Inc. dba Nuplasma   2021 MO-SEC $1,610,904
Duke and Duke LLC   2021 NJ-BOS $130,473
Intercapital Management Ltd.   2021 NJ-BOS $852,500
Intercapital Partners LLC   2021 NJ-BOS $161,250
Intercapital Partners Ltd.   2021 NJ-BOS $964,400
Sunshine 61 Trust LLC   2021 NJ-BOS $45,000
Legacy Investment Advisors, LLC   2021 PA-BKG $25,000
Divi-Vest Advisors, Inc.   2021 PA-BKG $10,000
Superior Investment Performance Inc. dba Everyield Investments   2021 PA-BKG $15,000
Luminary Capital, LLC   2021 PA-BKG $25,000
Aptus Financial, LLC   2021 PA-BKG $5,000
Regal Investment Advisors LLC   2021 SEC $846,774
BFC Planning, Inc.   2021 SEC $305,811
App Annie Inc.   2021 SEC $10,000,000
ProSky, Inc.   2021 SEC $4,700,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc.   2021 SEC $539,000,000
DBRS, INC.   2021 SEC $1,000,000
Rothschild Investment Corporation   2021 SEC $2,471,667
JW Korth & Company L.P.   2021 SEC $176,533
Diastole Wealth Management, Inc.   2021 SEC $100,000
Paradigm Wealth Advisory, LLC   2021 SEC $440,103
Frontier Wealth Management, LLC   2021 SEC $658,712
Pareteum Corporation   2021 SEC $500,000
McDonald Partners, LLC   2021 SEC $194,682
Cetera Advisor Networks LLC et al.   2021 SEC $300,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc.   2021 SEC $250,000
Cantella & Co., Inc.   2021 SEC $701,630
Educators Financial Services, Inc.   2021 SEC $790,365
Crews & Associates Inc.   2021 SEC $244,072
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc.   2021 SEC $1,957,053
Northwest Advisors, Inc.   2021 SEC $245,000
SoFi Wealth, LLC   2021 SEC $300,000
Murchinson Ltd.   2021 SEC $8,878,183
ISC Advisors, Inc.   2021 SEC $716,345
Poloniex LLC   2021 SEC $10,388,309
Blockchain Credit Partners   2021 SEC $12,849,354
Prosperity Economics Partners LLC and Partners for Prosperity LLC   2021 SEC $275,000
USA Financial Securities Corporation   2021 SEC $249,455
First Heartland Consultants, Inc.   2021 SEC $1,045,528
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.