Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
The totals here are adjusted to account for the fact that each parent's entries 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. They 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 individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Year Agencysort icon Penalty Amount
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services 2015 SEC $180,000,000
Edward D. Jones & Co. LP Jones Financial financial services 2015 SEC $20,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2015 SEC $7,000,000
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
Merrill Lynch Bank of America financial services 2015 SEC $10,900,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
BlackRock Advisors LLC BlackRock financial services 2015 SEC $12,000,000
UBS Securities LLC UBS financial services 2015 SEC $14,400,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
HSBC Private Bank (Suisse) HSBC financial services 2014 SEC $12,500,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Jefferies LLC Jefferies Financial Group diversified 2014 SEC $25,000,000
Credit Suisse Group AG Credit Suisse financial services 2014 SEC $196,000,000
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance financial services 2012 SEC $1,625,000
Mizuho Financial Group Mizuho Financial financial services 2012 SEC $127,500,000
OppenheimerFunds Inc. Invesco financial services 2012 SEC $35,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2012 SEC $26,600,000
Goldman Sachs & Co. Goldman Sachs financial services 2012 SEC $22,000,000
UBS Global Asset Management UBS financial services 2012 SEC $300,000
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2011 SEC $30,400,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 SEC $118,000,000
Bank of America Bank of America financial services 2010 SEC $150,000,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Luca International Group, LLC   2016 SEC $68,300,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
Merrill Lynch Bank of America financial services 2016 SEC $10,000,000
Merrill Lynch Bank of America financial services 2016 SEC $415,000,000
Ethiopian Electric Power   2016 SEC $6,448,854
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
First Mortgage Corporation   2016 SEC $12,700,000
Navistar International Corp. Volkswagen motor vehicles 2016 SEC $7,500,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Uni-Pixel Inc.   2016 SEC $750,000
Westlands Water District   2016 SEC $125,000
Marwood Group Research LLC   2015 SEC $375,000
Sands Brothers Asset Management LLC   2015 SEC $1,000,000
Fenway Partners LLC   2015 SEC $8,716,471
DBRS Inc.   2015 SEC $5,814,482
Premiere Power LLC   2015 SEC $2,587,523
Auriga Global Investors, Sociedad de Valores, S.A.   2015 SEC $618,401
Harvest Capital Strategies LLC   2015 SEC $84,454
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
Omega Advisors, Inc. Omega Advisors financial services 2015 SEC $134,026
Sabby Management LLC   2015 SEC $278,747
War Chest Capital Partners LLC   2015 SEC $351,818
Wolverine Trading LLC and Wolverine Asset Management LLC   2015 SEC $1,153,303
Briargate Trading LLP   2015 SEC $912,842
Spencer Pharmaceutical Inc.   2015 SEC $1,000,000
Focus Media Holding Limited   2015 SEC $55,600,000
First Eagle Investment Management and FEF Distributors   2015 SEC $39,748,260
8000 Inc.   2015 SEC $6,500,000
Taberna Capital Management   2015 SEC $21,500,000
EnviraTrends, Inc.   2015 SEC $150,000
Colonial Tidewater Realty Income Partners   2015 SEC $1,319,386
ITG Inc.   2015 SEC $20,300,000
Guggenheim Partners Investment Management LLC Guggenheim Partners financial services 2015 SEC $20,000,000
ABS Manager   2015 SEC $1,087,648
The Baker Group, LP   2015 SEC $250,000
B.C. Ziegler and Company   2015 SEC $250,000
Benchmark Securities, LLC   2015 SEC $100,000
Bernardi Securities, Inc.   2015 SEC $100,000
BMO Capital Markets GKST Inc. Piper Sandler financial services 2015 SEC $250,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
BOSC, Inc.   2015 SEC $250,000
Central States Capital Markets, LLC   2015 SEC $60,000
Citigroup Global Markets Inc. Citigroup financial services 2015 SEC $500,000
City Securities Corporation   2015 SEC $250,000
Davenport & Company LLC   2015 SEC $80,000
Dougherty & Co. LLC   2015 SEC $250,000
First National Capital Markets, Inc.   2015 SEC $100,000
George K. Baum & Company   2015 SEC $250,000
Goldman, Sachs & Co. Goldman Sachs financial services 2015 SEC $500,000
Hutchinson, Shockey, Erley & Co. Huntington Bancshares financial services 2015 SEC $220,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2015 SEC $500,000
L.J. Hart and Company   2015 SEC $100,000
Loop Capital Markets, LLC   2015 SEC $60,000
Martin Nelson & Co., Inc.   2015 SEC $100,000
Merchant Capital, L.L.C.   2015 SEC $100,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2015 SEC $500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 SEC $500,000
The Northern Trust Company Northern Trust financial services 2015 SEC $60,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 SEC $400,000
Piper Jaffray & Co. Piper Sandler financial services 2015 SEC $500,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2015 SEC $500,000
Robert W. Baird & Co. Incorporated   2015 SEC $500,000
Siebert Brandford Shank & Co., LLC   2015 SEC $240,000
Smith Hayes Financial Services Corporation   2015 SEC $40,000
Stephens Inc.   2015 SEC $400,000
Sterne, Agee & Leach, Inc.   2015 SEC $80,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2015 SEC $500,000
Wells Nelson & Associates, LLC   2015 SEC $100,000
William Blair & Co., L.L.C.   2015 SEC $80,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.