Bank of America | Bank of America | investor protection violation | 2013 | MULTI-AG | $500,000,000 |
Bank of America Merrill Lynch | Bank of America | investor protection violation | 2018 | NY-AG | $42,000,000 |
Bank of New York Mellon | Bank of New York Mellon | investor protection violation | 2013 | FL-AG | $28,000,000 |
Bank of New York Mellon Corp. | Bank of New York Mellon | investor protection violation | 2011 | MULTI-AG | $1,300,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | NY-AG | $35,000,000 |
Bear Stearns | JPMorgan Chase | investor protection violation | 2012 | MI-AG | $275,000,000 |
Bear Stearns & Co. LLC | JPMorgan Chase | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000 |
BMO Capital Markets Corporation | Bank of Montreal | investor protection violation | 2019 | SEC | $3,946,000 |
BNY Mellon Shareowner Services | Bank of New York Mellon | investor protection violation | 2010 | MA-AG | $30,000 |
Canadian Imperial Bank of Commerce | Canadian Imperial Bank of Commerce | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2019 | SEC | $647,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | DE-AG | $309,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2009 | NJ-AG | $3,300,932 |
Citigroup Global Markets, Inc. and Citi Smith Barney | Citigroup | investor protection violation | 2008 | MULTI-AG | $7,100,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2017 | NY-AG | $23,500,000 |
Conseco, Inc. | CNO Financial | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $15,000,000 |
Credit Suisse First Boston Corp. | UBS | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $200,000,000 |
Credit Suisse Securities | UBS | investor protection violation | 2016 | NY-AG | $30,000,000 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2011 | NJ-AG | $1,057,996 |
Credit Suisse Securities (USA) LLC | UBS | investor protection violation | 2018 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $10,000,000 |
Deutsche Bank | Deutsche Bank | investor protection violation | 2002 | MULTI-AG | $80,000,000 |
Deutsche Bank AG | Deutsche Bank | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $208,000,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2009 | NJ-AG | $1,057,350 |
Deutsche Bank Securities, Inc. and Deutsche Bank AG | Deutsche Bank | investor protection violation | 2008 | MULTI-AG | $3,348,333,333 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2016 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $37,000,000 |
Dreyfus Corporation | Bank of New York Mellon | investor protection violation | 2000 | NY-AG | $2,000,000 |
Edward Jones & Co. | Jones Financial | investor protection violation | 2008 | CA-AG | $7,500,000 |
Federated Investors, Inc. | Federated Hermes | investor protection violation | 2005 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
FleetBoston Financial Corp. | Bank of America | investor protection violation | 2004 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000 |
Franklin/Templeton Distributors, Inc. | Franklin Resources | investor protection violation | 2004 | CA-AG | $18,000,000 |
Fred Alger Management, Inc. | Alger Associates | investor protection violation | 2007 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $45,000,000 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000 |
Goldman Sachs Group, Inc. | Goldman Sachs | investor protection violation | 2008 | MULTI-AG | $3,355,833,333 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2011 | NJ-AG | $959,794 |
Industrial and Commercial Bank of China Financial Services LLC | Industrial and Commercial Bank of China | investor protection violation | 2019 | SEC | $42,700,000 |
ING | Voya Financial | investor protection violation | 2006 | MULTI-AG | $33,000,000 |
Interactive Brokers, LLC | Interactive Brokers Group | investor protection violation | 2019 | NJ-AG | $100,000 |
Invesco Funds Group | Invesco | investor protection violation | 2004 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $325,000,000 |
J.P. Morgan Chase & Co. | JPMorgan Chase | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $80,000,000 |
J.P. Morgan Securities | JPMorgan Chase | investor protection violation | 2014 | DE-AG | $51,400 |
J.P. Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2010 | FL-AG | $25,000,000 |
J.P. Morgan Securities, LLC | JPMorgan Chase | investor protection violation | 2014 | NJ-AG | $50,460 |
Jackson National Life Insurance Co | Jackson Financial | investor protection violation | 2008 | CT-AG | $484,000 |
Janus Capital Management | Janus Henderson | investor protection violation | 2004 | MULTI-AG | $225,000,000 |
John Hancock Life Insurance Co. | Manulife Financial | investor protection violation | 2014 | MA-AG | $550,000 |
JP Morgan Chase & Co. | JPMorgan Chase | investor protection violation | 2008 | MULTI-AG | $3,525,000,000 |
JPMorgan Chase | JPMorgan Chase | investor protection violation | 2015 | MULTI-AG | $150,000,000 |
JPMorgan Chase & Co. | JPMorgan Chase | investor protection violation | 2010 | NJ-AG | $1,149,028 |
LPL Financial LLC | LPL Financial | investor protection violation | 2019 | MULTI-AG | $25,848,000 |
LPL Financial, LLC | LPL Financial | investor protection violation | 2017 | NJ-AG | $975,000 |
Marsh and McLennan | Marsh & McLennan | investor protection violation | 2009 | MULTI-AG | $400,000,000 |
Massachusetts Financial Services Co. | Sun Life Financial | investor protection violation | 2004 | NY-AG | $350,000,000 |
MBIA, Inc. | MBIA | investor protection violation | 2007 | NY-AG | $25,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2009 | DE-AG | $459,000 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | DE-AG | $500,000 |
Merrill Lynch | Bank of America | investor protection violation | 2010 | NJ-AG | $4,871,620 |
Merrill Lynch | Bank of America | investor protection violation | 2002 | NY-AG | $100,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2009 | OH-AG | $475,000,000 |
Merrill Lynch & Co. | Bank of America | investor protection violation | 2008 | MULTI-AG | $3,458,333,333 |
Merrill Lynch & Co. | Bank of America | investor protection violation | 2013 | NJ-AG | $45,000,000 |
Merrill Lynch & Co. Inc. | Bank of America | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $100,000,000 |
Merrill Lynch Commodities, Inc. | Bank of America | investor protection violation | 2019 | CFTC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $24,900,000 |
Merrill Lynch Pierce Fenner & Smith Inc. | Bank of America | investor protection violation | 2005 | NJ-AG | $10,000,000 |
Merrill, Lynch, Pierce, Fenner and Smith, Inc. | Bank of America | investor protection violation | 2010 | NJ-AG | $728,260 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2008 | MULTI-AG | $3,535,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $125,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2019 | CA-AG | $150,000,000 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2011 | NJ-AG | $1,560,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2013 | NJ-AG | $100,000 |
Morgan Stanley DW | Morgan Stanley | investor protection violation | 2005 | DE-AG | $700,000 |
Nomura Securities International Inc. | Nomura | investor protection violation | 2019 | SEC | $26,400,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2010 | MULTI-AG | $31,000,000 |
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC | Oppenheimer Holdings | investor protection violation | 2013 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $2,800,000 |
OppenheimerFunds | Invesco | investor protection violation | 2010 | NM-AG | $67,300,000 |
OppenheimerFunds Inc. | Invesco | investor protection violation | 2009 | OR-AG | $20,000,000 |
OppenheimerFunds, Inc. | Invesco | investor protection violation | 2009 | IL-AG | $77,230,000 |
Prudential Equity Group | Prudential Financial | investor protection violation | 2006 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000 |
Prudential Equity Group | Prudential Financial | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000 |
Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2011 | NJ-AG | $35,000 |
RBC Capital Markets Corp. | Royal Bank of Canada | investor protection violation | 2010 | NJ-AG | $51,724 |
RBC Capital Markets Corporation | Royal Bank of Canada | investor protection violation | 2008 | MULTI-AG | $859,800,000 |
RBC Capital Markets, LLC | Royal Bank of Canada | investor protection violation | 2013 | NJ-AG | $450,000 |
Royal Bank of Canada | Royal Bank of Canada | investor protection violation | 2009 | DE-AG | $22,156 |
Salomon Smith Barney Inc. | Morgan Stanley | investor protection violation | 2002 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $400,000,000 |
Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-AG | $5,000,000 |
Smith Barney | Morgan Stanley | investor protection violation | 2007 | NJ-AG | $978,000 |
St. Paul Travelers Companies Inc. | Travelers | investor protection violation | 2005 | NM-AG | $67,500,000 |
State Street Bank | State Street Corp. | investor protection violation | 2010 | WA-AG | $11,700,000 |
State Street Bank & Trust Co. | State Street Corp. | investor protection violation | 2010 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $300,000,000 |
State Street Bank and Trust Co. | State Street Corp. | investor protection violation | 2016 | MA-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $75,500,000 |
State Street Bank and Trust Company | State Street Corp. | investor protection violation | 2019 | SEC | $88,780,000 |
Strong Capital Management Co. | Wells Fargo | investor protection violation | 2004 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $115,000,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2009 | MULTI-AG | $456,000,000 |
TD Ameritrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | MA-AG | $160,000 |
The Hartford Financial Services Group | Hartford Financial Services | investor protection violation | 2006 | MULTI-AG | $20,000,000 |
UBS | UBS | investor protection violation | 2010 | MI-AG | $117,000,000 |
UBS Financial Services Inc. | UBS | investor protection violation | 2006 | NJ-AG | $24,750,000 |
UBS Financial Services, Inc | UBS | investor protection violation | 2013 | MULTI-AG | $4,580,000 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2013 | DE-AG | $70,077 |
UBS Financial Services, Inc. | UBS | investor protection violation | 2007 | NY-AG | $23,300,000 |
UBS Securities LLC and UBS Financial Services, Inc | UBS | investor protection violation | 2011 | NJ-AG | $3,790,487 |