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)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Bachrach Asset Management Inc.   2018 SEC $75,000
Back Bay Advisors, L.P.   2002 SEC $150,000
Badge Trading LLC   2016 CFTC $280,000
Baggy Stuff, Inc.   2000 FL-OFR $325,000
BAIC, Inc.   2019 AZ-SEC $2,004,649
BAK Ventures, Inc.   2011 OR-FIN $20,000
Bakken Workforce Housing, L.L.C.   2017 MN-FIN $5,000
Baldwin Wilson Development Corp.   2009 IN-SEC $426,800
Ballentine Partners LLC   2012 NH-BSR $175,000
Balsam Capital Group, LLC and River Source Wealth Management, LLC   2017 MD-SEC $5,000
Baltic Fund   2018 MO-SEC $22,760
Bambu Desserts and Drinks, Inc.   2016 MD-SEC $5,000
Bambu IP, LLC, Bambu Desserts & Drinks, Inc.   2016 VA-SEC $84,500
BAMC Investment Management Inc.   2005 TX-SEC $6,000
Bamex International, Ltd.   2002 AZ-SEC $1,277,429
Banc De Binary   2013 IN-SEC $10,000
Banc de Binary Ltd.   2016 CFTC $9,100,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
Banc of America Investment Services Inc. Bank of America financial services 2004 FINRA $200,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Banc of America Investment Services, Inc. Bank of America financial services 2009 SEC $150,000
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
Banc of America Investment Services, Inc. Bank of America financial services 2005 FINRA $90,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Banc of America Securities LLC Bank of America financial services 2008 MULTI-AG $4,550,000,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Banc of America Securities LLC Bank of America financial services 2001 FINRA $40,000
Banc One Capital Markets, Inc.   2001 FINRA $1,800,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
Banc One Securities Corporation JPMorgan Chase financial services 2005 FINRA $400,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
BancBoston Robertson Stephens Bank of America financial services 2001 FINRA $10,000
Banco Comercial Portugues, S.A.   2013 SEC $1,892,058
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo financial services 2011 NJ-AG $1,900,000
Bancroft Ventures Ltd.   2006 CA-DFPI $14,300,000
Bancwest Investment Services, Inc.   2020 SEC $406,432
Bander Law Firm, PLLC   2015 SEC $273,184
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
Bank of America Bank of America financial services 2010 SEC $150,000,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Bank of America Bank of America financial services 2012 MULTI-AG $2,430,000,000
Bank of America Bank of America financial services 2013 MULTI-AG $500,000,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Bank of America Corporation Bank of America financial services 2014 SEC $20,000,000
Bank of America Merrill Lynch Bank of America financial services 2018 NY-AG $42,000,000
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2013 FL-AG $28,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
Bank Watch   2010 OR-FIN $220,000
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
Bankers Life and Casualty Co. CNO Financial financial services 2015 MO-SEC $102,178
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial financial services 2012 MULTI-FIN $10,641,000
Banner Co-op, Inc.   2020 MI-SEC $15,000
Banorte Securities International, Ltd.   2008 FINRA $1,100,000
Banque CIAL   2007 CFTC $80,000
Bantry Bay Capital, LLC   2017 SEC $100,000
Banyan Partners, LLC   2016 SEC $200,000
Bar-Lo Millennium Corp.   2001 AZ-SEC $10,000
Barcelona Strategies LLC   2018 SEC $542,120
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays financial services 2016 FINRA $1,300,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $5,000,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Barclays Capital Inc. Barclays financial services 2011 FINRA $3,000,000
Barclays Capital, Inc. Barclays financial services 2015 FINRA $13,750,000
Barki LLC   2011 CFTC $40,904,000
Baron Capital, Inc.   2003 SEC $2,000,000
Barrett & Co.   2015 RI-FIN $10,000
Barrington Capital Management, Inc.   2007 MO-SEC $14,000
Barron Thomas Scottsdale, L.L.C. et al.   2010 AZ-SEC $10,051,294
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Basic Capital Management, Inc.   2002 SEC $850,000
Basic Investors Inc.   2008 CT-SEC $21,500
BASIN OIL & GAS CORPORATION   2002 VA-SEC $5,500
Basin Oil and Gas Corp.   2004 KY-FIN $7,500
Basin Oil and Gas Corporation   2001 TN-SEC $21,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Baxter, Banks & Smith Ltd.   2000 ND-SEC $5,000
Baxter, Banks and Smith Ltd.   2000 OR-FIN $20,000
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.