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:
$663,572,539
Number of records:
35
| Top 5 Offense Groups (Groups Defined) | Penalty Total | Number of Records |
|---|---|---|
| financial offenses | $652,994,000 | 11 |
| employment-related offenses | $10,275,377 | 2 |
| safety-related offenses | $186,292 | 18 |
| environment-related offenses | $116,870 | 4 |
| Top 5 Primary Offense Types | Penalty Total | Number of Records |
|---|---|---|
| investor protection violation | $652,994,000 | 11 |
| benefit plan administrator violation | $10,270,000 | 1 |
| workplace safety or health violation | $186,292 | 18 |
| environmental violation | $116,870 | 4 |
| Family and Medical Leave Act | $5,377 | 1 |
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.
| Company | Primary Offense Type | Year | Agency |
Penalty Amount |
|---|---|---|---|---|
| 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 | SC-ENV | $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 GREENVILLE, LLC | environmental violation | 2013 | EPA | $16,870 |
| 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 |
| IAC SPARTANBURG, INC | environmental violation | 2012 | SC-ENV | $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 |
