Violation Tracker Parent Company Summary

Parent Company Name: 
BlackRock
Ownership Structure: 
publicly traded (ticker symbol BLK)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
financial services
Penalty total since 2000: 
$15,765,350
Number of records: 
5
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$15,765,3505
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$15,765,3505
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.

Associated Names: 

BLACKROCK; BLACKROCK ADVISORS; BLACKROCK FUND ADVISORS; BLACKROCK INSTITUTIONAL TRUST

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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Company Primary Offense Type Year Agency Penalty Amountsort icon
BlackRock Advisors LLC investor protection violation 2015 SEC $12,000,000
BlackRock Institutional Trust Company investor protection violation 2014 SEC $1,675,350
Blackrock Fund Advisors investor protection violation 2017 SEC $1,500,000
BlackRock Inc. investor protection violation 2017 SEC $340,000
BlackRock Institutional Trust Company NA investor protection violation 2012 CFTC $250,000
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