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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Mizuho Financial
Ownership Structure: publicly traded (ticker symbol MFG)
Headquartered in: Japan
Major Industry: financial services
Specific Industry: banking
Penalty total since 2000$130,675,000
Number of records: 5
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$130,500,0004
miscellaneous offenses$175,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$130,500,0004
data submission deficiencies$175,0001
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 TypeYearAgencyPenalty Amount sort icon .
Mizuho Financial Groupinvestor protection violation2012SEC$127,500,000
Mizuho Capital Markets LLCinvestor protection violation2021CFTC$1,500,000
Mizuho Securities USA LLCinvestor protection violation2018SEC$1,250,000
Mizuho Bank, Ltd.investor protection violation2018CFTC$250,000
Mizuho Securities USA Inc.data submission deficiencies2013CFTC$175,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.