Violation Tracker Parent Company Summary

Parent Company Name: 
Invesco
Ownership Structure: 
publicly traded (ticker symbol IVZ)
Headquartered in: 
Georgia
Major Industry: 
financial services
Specific Industry: 
investment management
Penalty total since 2000: 
$663,595,539
Number of records: 
36
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$652,994,00011
employment-related offenses$10,275,3772
safety-related offenses$186,29218
environment-related offenses$139,8705
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$652,994,00011
benefit plan administrator violation$10,270,0001
workplace safety or health violation$186,29218
environmental violation$139,8705
Family and Medical Leave Act$5,3771
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: 

AIM Advisors; AIM ADVISORS AND AIM DISTRIBUTORS; IAC ALBEMARLE; IAC HURON; INTL AUTOMOTIVE COMPONENTS; INTL AUTOMOTIVE COMPONENTS GROUP NA; INTL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA; INVESCO; INVESCO FUNDS GROUP; INVESCO TRUST; OppenheimerFunds; OppenheimerFunds Distributor, Inc.; WL ROSS AND

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
Invesco Funds Group, Inc. investor protection violation 2004 SEC $325,000,000
Invesco Funds Group investor protection violation 2004 MULTI-AG (*) $325,000,000
AIM Advisors investor protection violation 2004 MULTI-AG (*) $125,000,000
OppenheimerFunds, Inc. investor protection violation 2009 IL-AG $77,230,000
OppenheimerFunds investor protection violation 2010 NM-AG $67,300,000
AIM Advisors, Inc. and AIM Distributors, Inc. investor protection violation 2004 SEC $50,000,000
OppenheimerFunds Inc. investor protection violation 2012 SEC $35,000,000
OppenheimerFunds Inc. investor protection violation 2009 OR-AG $20,000,000
Invesco Trust Company benefit plan administrator violation 2016 EBSA $10,270,000
WL Ross & Co. LLC investor protection violation 2016 SEC $2,300,000
OppenheimerFunds Distributor, Inc. investor protection violation 2007 WA-FIN $669,500
OppenheimerFunds Distributor, Inc. investor protection violation 2007 CO-SEC $494,500
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC workplace safety or health violation 2008 OSHA $59,000
IAC SPARTANBURG INC environmental violation 2015 EPA $58,000
INTERNATIONAL AUTOMOTIVE COMPONENTS A/K/A LEAR COR environmental violation 2012 EPA $35,000
IAC HURON, LLC workplace safety or health violation 2011 OSHA $20,940
IAC SPRINGFIELD, LLC environmental violation 2005 EPA $17,500
IAC GREENVILLE, LLC environmental violation 2013 EPA $16,870
IAC SPRINGFIELD, LLC environmental violation 2007 EPA $12,500
IAC SPRINGFIELD, LLC workplace safety or health violation 2014 OSHA $9,100
IAC workplace safety or health violation 2013 OSHA $9,025
INTERNATIONAL AUTOMOTIVE COMPONENTS workplace safety or health violation 2010 OSHA $8,750
IAC MADISONVILLE LLC workplace safety or health violation 2014 OSHA $7,500
IAC SPARTANBURG workplace safety or health violation 2011 OSHA $7,277
IAC ALBEMARLE, LLC workplace safety or health violation 2017 OSHA $7,000
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP NORTH AMERICA INC workplace safety or health violation 2015 OSHA $6,600
IAC SPRINGFIELD LLC workplace safety or health violation 2014 OSHA $6,350
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC workplace safety or health violation 2014 OSHA $6,300
INTERNATIONAL AUTOMOTIVE COMPONENTS workplace safety or health violation 2009 OSHA $6,000
IAC GROUP NORTH AMERICA ANNISTON PLANT, LLC workplace safety or health violation 2011 OSHA $5,850
IAC DAYTON LLC workplace safety or health violation 2013 OSHA $5,775
INTERNATIONAL AUTOMOTIVE COMPONENTS workplace safety or health violation 2007 OSHA $5,625
IAC Springfield, LLC Family and Medical Leave Act 2015 WHD $5,377
INTERNATIONAL AUTOMOTIVE COMPONENTS GROUP N.A. INC workplace safety or health violation 2007 OSHA $5,200
IAC MADISONVILLE LLC workplace safety or health violation 2014 OSHA $5,000
INTERNATIONAL AUTOMOTIVE COMPONENTS workplace safety or health violation 2014 OSHA $5,000
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