Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$74,419,556,895
Number of Penalty Records: 
2,327
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$13,335,614,96352
UBS$11,587,982,33029
Citigroup$8,055,736,14219
JPMorgan Chase$5,018,149,67930
Morgan Stanley$4,065,217,35943
Deutsche Bank$3,958,784,82819
Goldman Sachs$3,738,695,98723
Wells Fargo$2,375,262,74231
American International Group$1,579,000,0004
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.
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Company Parent Parent Major Industry Year Agency Penalty Amountsort icon
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup financial services 2008 MULTI-AG $7,100,000,000
Banc of America Securities LLC Bank of America financial services 2008 MULTI-AG $4,550,000,000
Morgan Stanley Morgan Stanley financial services 2008 MULTI-AG $3,535,000,000
JP Morgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-AG $3,525,000,000
Merrill Lynch & Co. Bank of America financial services 2008 MULTI-AG $3,458,333,333
Goldman Sachs Group, Inc. Goldman Sachs financial services 2008 MULTI-AG $3,355,833,333
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank financial services 2008 MULTI-AG $3,348,333,333
Bank of America Bank of America financial services 2012 MULTI-AG $2,430,000,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
MF Global Holdings Ltd. MF Global financial services 2014 CFTC $1,312,000,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-AG $859,800,000
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
American International Group American International Group financial services 2010 OH-AG $725,000,000
CR Intrinsic Investors SAC Capital financial services 2013 SEC $601,747,463
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
Alliance Capital Management AXA financial services 2003 NY-AG (*) $600,000,000
BP BP oil and gas 2012 SEC $525,000,000
Bank of America Bank of America financial services 2013 MULTI-AG $500,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group financial services 2016 CFTC $490,246,741
Merrill Lynch Bank of America financial services 2009 OH-AG $475,000,000
Waste Management, Inc. Waste Management waste management and environmental services 2001 CT-AG $457,000,000
TD Ameritrade, Inc. TD Ameritrade financial services 2009 MULTI-AG $456,000,000
Merrill Lynch Bank of America financial services 2016 SEC $415,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Marsh and McLennan Marsh & McLennan financial services 2009 MULTI-AG $400,000,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 NY-AG $350,000,000
Invesco Funds Group, Inc. Invesco financial services 2004 SEC $325,000,000
Invesco Funds Group Invesco financial services 2004 MULTI-AG (*) $325,000,000
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
FleetBoston Financial Corp. Bank of America financial services 2004 NY-AG (*) $300,000,000
State Street Bank & Trust Co. State Street Corp. financial services 2010 MA-AG (*) $300,000,000
Bear Stearns JPMorgan Chase financial services 2012 MI-AG $275,000,000
Prudential Equity Group Prudential Financial financial services 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial financial services 2006 NY-AG (*) $270,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2015 SEC $267,000,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
Alliance Capital Management L.P. AXA financial services 2003 SEC $250,000,000
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 SEC $225,000,000
Janus Capital Management Janus Henderson financial services 2004 MULTI-AG $225,000,000
Ivy Asset Management, LLC   2012 NY-AG $210,000,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2003 SEC $200,000,000
Credit Suisse First Boston Corp. Credit Suisse financial services 2002 MULTI-AG (*) $200,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
Credit Suisse Group AG Credit Suisse financial services 2014 SEC $196,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services 2015 SEC $180,000,000
Broadcom Corp. Broadcom electrical and electronic equipment 2009 NM-AG $160,500,000
Bank of America Bank of America financial services 2010 SEC $150,000,000
JPMorgan Chase JPMorgan Chase financial services 2015 MULTI-AG $150,000,000
Morgan Stanley Morgan Stanley financial services 2019 CA-AG $150,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management   2005 SEC $148,000,000
Pershing Square Capital Management   2017 MULTI-AG $145,000,000
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
Mizuho Financial Group Mizuho Financial financial services 2012 SEC $127,500,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
AIM Advisors Invesco financial services 2004 MULTI-AG (*) $125,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2002 MULTI-AG (*) $125,000,000
Premium Income Corp.   2007 CFTC $123,000,000
Millennium Partners   2005 NY-AG (*) $121,400,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 SEC $118,000,000
UBS UBS financial services 2010 MI-AG $117,000,000
Strong Capital Management Co. Wells Fargo financial services 2004 MULTI-AG (*) $115,000,000
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services 2010 SEC $112,600,000
Goldman, Sachs & Co. Goldman Sachs financial services 2003 SEC $110,000,000
Goldman Sachs Goldman Sachs financial services 2002 MULTI-AG (*) $110,000,000
Hunter Wise Hunter Wise Commodities financial services 2014 CFTC $108,000,000
ConvergEx Group Cowen Inc. financial services 2013 SEC $107,424,429
TLC Investments & Trade Co.   2001 SEC $106,600,000
JPMorgan Chase JPMorgan Chase financial services 2013 CFTC $100,000,000
International Financial Services (New York) LLC   2004 CFTC $100,000,000
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Facebook Inc. Facebook information technology 2019 SEC $100,000,000
Federated Investors, Inc. Federated Investors Inc. financial services 2005 NY-AG (*) $100,000,000
Merrill Lynch Bank of America financial services 2002 NY-AG $100,000,000
Merrill Lynch & Co. Inc. Bank of America financial services 2002 MULTI-AG (*) $100,000,000
Pilgrim Baxter & Associates, Ltd.   2004 NY-AG (*) $100,000,000
Pentagon Capital Management   2012 SEC $98,600,000
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Crossfire Trading, LLC   2011 CFTC $84,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
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(*): 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.