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
World Group Securities, Inc. Aegon financial services 2010 SEC $200,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2010 SEC $225,000
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
Lansing Trade Group, LLC Lansing Trade Group financial services 2018 CFTC $3,400,000
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $8,900,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $73,200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2018 SEC $3,600,000
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2018 SEC $15,700,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $860,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America financial services 2018 SEC $8,872,723
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Banc of America Investment Services, Inc. Bank of America financial services 2009 SEC $150,000
AXA Advisors, LLC AXA financial services 2009 SEC $50,000
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC Goldman Sachs financial services 2009 SEC $7,200,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 SEC $125,000
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
Gabelli Funds, LLC Gamco Investors Inc. financial services 2009 SEC $450,000
Massachusetts Financial Services Company Sun Life Financial financial services 2018 SEC $1,900,000
Commerzbank AG Commerzbank financial services 2018 CFTC $12,000,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
Mizuho Bank, Ltd. Mizuho Financial financial services 2018 CFTC $250,000
NatWest Markets Plc Royal Bank of Scotland financial services 2018 CFTC $750,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. financial services 2018 SEC $5,000,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
TD Ameritrade, Inc. TD Ameritrade financial services 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
BB&T Securities, LLC Truist Financial financial services 2018 SEC $100,000
LPL Financial Corporation LPL Financial financial services 2008 SEC $275,000
E*Trade Clearing LLC E-Trade Financial financial services 2008 SEC $500,000
Gabelli Funds LLC Gamco Investors Inc. financial services 2008 SEC $16,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2007 SEC $350,000
AllianceBernstein, L.P. AXA financial services 2007 SEC $450,000
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
Citigroup Global Markets, Inc. Citigroup financial services 2007 SEC $200,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 SEC $50,000,000
Metropolitan Life Insurance Company MetLife financial services 2006 SEC $250,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2006 SEC $558,806
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2002 SEC $100,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2002 SEC $75,000
Norwest Investment Services, Inc. Wells Fargo financial services 2002 SEC $153,245
Western Asset Management Co. Franklin Resources financial services 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources financial services 2001 SEC $50,000
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2001 SEC $50,000
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
First Union Securities, Inc. Wells Fargo financial services 2000 SEC $408,931
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Fahnestock & Co., Inc. Oppenheimer Holdings financial services 2000 SEC $20,000
Janney Montgomery Scott LLC Penn Mutual financial services 2000 SEC $100,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
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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.