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Violation Tracker Current Parent Company Summary

Current Parent Company Name: BlackRock
Ownership Structure: publicly traded (ticker symbol NYSE: BLK)
Headquartered in: New York
Major Industry: financial services
Specific Industry: financial services
Penalty total since 2000$30,001,093
Number of records: 9
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$20,351,0938
employment-related offenses$9,650,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$20,351,0938
benefit plan administrator violation$9,650,0001
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below 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. The totals 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 list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense Type sort iconYearAgencyPenalty Amount
BlackRock Advisors LLCinvestor protection violation2015SEC$12,000,000
BlackRock Institutional Trust Company NAinvestor protection violation2012CFTC$250,000
BlackRock Institutional Trust Companyinvestor protection violation2014SEC$1,675,350
BlackRock Inc.investor protection violation2017SEC$340,000
Blackrock Fund Advisorsinvestor protection violation2017SEC$1,500,000
State Street Research & Management Companyinvestor protection violation2005SEC$585,743
State Street Research Investment Services, Inc.investor protection violation2004FINRA$1,500,000
BlackRock Advisors, LLCinvestor protection violation2023SEC$2,500,000
BlackRock Institutional Trust Company, N.A.benefit plan administrator violation2021private lawsuit-federal$9,650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.