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 10 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$13,500,0002
securities issuance or trading violation$1,925,3502
financial institution supervision failures$340,0001
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate 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:

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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 securities issuance or trading violation 2014 SEC $1,675,350
Blackrock Fund Advisors investor protection violation 2017 SEC $1,500,000
BlackRock Inc. financial institution supervision failures 2017 SEC $340,000
BlackRock Institutional Trust Company NA securities issuance or trading violation 2012 CFTC $250,000
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