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
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Janney Montgomery Scott LLC Penn Mutual financial services 2019 SEC $241,227
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions financial services 2019 SEC $296,750
AXA Advisors, LLC AXA financial services 2019 SEC $1,134,152
BB&T Securities, LLC Truist Financial financial services 2019 SEC $376,059
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
Bok Financial Securities, Inc. BOK Financial financial services 2019 SEC $197,801
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Principal Securities, Inc. Principal Financial financial services 2019 SEC $1,764,624
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
Comerica Securities, Inc. Comerica financial services 2019 SEC $186,377
Santander Securities LLC Banco Santander financial services 2019 SEC $270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings financial services 2019 SEC $3,528,377
LPL Financial LLC LPL Financial financial services 2019 SEC $9,333,516
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
ProEquities, Inc. Dai-ichi Life financial services 2019 SEC $1,852,383
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
AIM Advisors Invesco financial services 2004 MULTI-AG (*) $125,000,000
Alliance Capital Management AXA financial services 2003 NY-AG (*) $600,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
Allianz Life Insurance Company of North America Allianz financial services 2007 MN-AG $500,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
American International Group American International Group financial services 2010 OH-AG $725,000,000
American International Group Inc. American International Group financial services 2010 OR-AG $8,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 NJ-AG $375,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
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 One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
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
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 Merrill Lynch Bank of America financial services 2018 NY-AG $42,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2013 FL-AG $28,000,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Bear Stearns JPMorgan Chase financial services 2012 MI-AG $275,000,000
Bear Stearns & Co. LLC JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup financial services 2008 MULTI-AG $7,100,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2017 NY-AG $23,500,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
Credit Suisse First Boston Corp. Credit Suisse financial services 2002 MULTI-AG (*) $200,000,000
Credit Suisse Securities Credit Suisse financial services 2016 NY-AG $30,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 NY-AG (*) $10,000,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank financial services 2008 MULTI-AG $3,348,333,333
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2016 NY-AG (*) $37,000,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Federated Investors, Inc. Federated Investors Inc. financial services 2005 NY-AG (*) $100,000,000
FleetBoston Financial Corp. Bank of America financial services 2004 NY-AG (*) $300,000,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
Goldman Sachs Goldman Sachs financial services 2002 MULTI-AG (*) $110,000,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2008 MULTI-AG $3,355,833,333
Goldman, Sachs & Co. Goldman Sachs financial services 2011 NJ-AG $959,794
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2019 SEC $42,700,000
ING Voya Financial financial services 2006 MULTI-AG $33,000,000
Interactive Brokers, LLC Interactive Brokers Group financial services 2019 NJ-AG $100,000
Invesco Funds Group Invesco financial services 2004 MULTI-AG (*) $325,000,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 DE-AG $51,400
J.P. Morgan Securities LLC JPMorgan Chase financial services 2010 FL-AG $25,000,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 NJ-AG $50,460
Jackson National Life Insurance Co Prudential (UK) financial services 2008 CT-AG $484,000
Janus Capital Management Janus Henderson financial services 2004 MULTI-AG $225,000,000
John Hancock Life Insurance Co. Manulife Financial financial services 2014 MA-AG $550,000
JP Morgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-AG $3,525,000,000
JPMorgan Chase JPMorgan Chase financial services 2015 MULTI-AG $150,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
Lehman Brothers Inc. Lehman Brothers financial services 2002 MULTI-AG (*) $80,000,000
Lehman Brothers, Inc. Lehman Brothers financial services 2014 WA-AG $31,300,000
LPL Financial LLC LPL Financial financial services 2019 MULTI-AG $25,848,000
LPL Financial, LLC LPL Financial financial services 2017 NJ-AG $975,000
Marsh and McLennan Marsh & McLennan financial services 2009 MULTI-AG $400,000,000
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 NY-AG $350,000,000
MBIA, Inc. MBIA financial services 2007 NY-AG $25,000,000
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
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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.