Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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.
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Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2003 SEC $110,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 SEC $80,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2003 SEC $200,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 SEC $32,500,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs financial services 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
E*TRADE Securities LLC E-Trade Financial financial services 2017 CFTC $280,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
INTL FCStone Financial Inc. INTL FCStone financial services 2017 CFTC $280,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2017 SEC $300,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Columbia Management Investment Services Corp. Ameriprise Financial financial services 2017 SEC $250,000
BB&T Securities, LLC Truist Financial financial services 2016 SEC $200,000
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
TD Securities (USA) LLC Toronto-Dominion Bank financial services 2016 SEC $500,000
Hilltop Securities Inc. Hilltop Holdings financial services 2016 SEC $360,000
Keybanc Capital Markets Inc. KeyCorp financial services 2016 SEC $440,000
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 SEC $100,000
Comerica Securities, Inc. Comerica financial services 2015 SEC $60,000
BB&T Securities, LLC Truist Financial financial services 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 SEC $200,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 SEC $20,000
U.S. Bank Municipal Securities Group U.S. Bancorp financial services 2015 SEC $60,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
UBS Financial Services Inc. UBS financial services 2015 SEC $480,000
PNC Capital Markets LLC PNC Financial Services financial services 2015 SEC $500,000
Macquarie Capital Investment Management LLC, et al Macquarie financial services 2015 SEC $120,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
UBS AG UBS financial services 2018 CFTC $15,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
New York Stock Exchange IntercontinentalExchange Group financial services 2018 SEC $14,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services 2014 SEC $120,000
Royal Bank of Scotland Group plc Royal Bank of Scotland financial services 2014 SEC $120,000
Bank of America Corporation Bank of America financial services 2014 SEC $20,000,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2018 FED $54,750,000
Piper Jaffray & Co. Piper Jaffray financial services 2013 SEC $300,000
Knight Capital Americas LLC Virtu Financial financial services 2013 SEC $12,000,000
ABN AMRO Bank, N.V. ABN AMRO financial services 2013 SEC $5,547,408
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. financial services 2013 SEC $10,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 SEC $2,886,677
AXA Advisors, LLC AXA financial services 2012 SEC $100,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
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(*): 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.