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
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Merrill Lynch Bank of America financial services 2010 NJ-AG $4,871,620
Merrill Lynch Bank of America financial services 2002 NY-AG $100,000,000
Merrill Lynch Bank of America financial services 2009 OH-AG $475,000,000
Merrill Lynch & Co. Bank of America financial services 2008 MULTI-AG $3,458,333,333
Merrill Lynch & Co. Bank of America financial services 2013 NJ-AG $45,000,000
Merrill Lynch & Co. Inc. Bank of America financial services 2002 MULTI-AG (*) $100,000,000
Merrill Lynch Commodities, Inc. Bank of America financial services 2019 CFTC (*) $24,900,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 NJ-AG $10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc. Bank of America financial services 2010 NJ-AG $728,260
Morgan Stanley Morgan Stanley financial services 2008 MULTI-AG $3,535,000,000
Morgan Stanley Morgan Stanley financial services 2002 MULTI-AG (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2019 CA-AG $150,000,000
Morgan Stanley Morgan Stanley financial services 2011 NJ-AG $1,560,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2013 NJ-AG $100,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Nomura Securities International Inc. Nomura financial services 2019 SEC $26,400,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2010 MULTI-AG $31,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 MA-AG (*) $2,800,000
OppenheimerFunds Invesco financial services 2010 NM-AG $67,300,000
OppenheimerFunds Inc. Invesco financial services 2009 OR-AG $20,000,000
OppenheimerFunds, Inc. Invesco financial services 2009 IL-AG $77,230,000
Prudential Equity Group Prudential Financial financial services 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial financial services 2006 NY-AG (*) $270,000,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 NJ-AG $35,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2010 NJ-AG $51,724
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-AG $859,800,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 NJ-AG $450,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
State Street Bank & Trust Co. State Street Corp. financial services 2010 MA-AG (*) $300,000,000
State Street Bank and Trust Co. State Street Corp. financial services 2016 MA-AG (*) $75,500,000
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
Strong Capital Management Co. Wells Fargo financial services 2004 MULTI-AG (*) $115,000,000
TD Ameritrade, Inc. TD Ameritrade financial services 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. TD Ameritrade financial services 2015 MA-AG $160,000
The Hartford Financial Services Group Hartford Financial Services financial services 2006 MULTI-AG $20,000,000
UBS UBS financial services 2010 MI-AG $117,000,000
UBS Financial Services Inc. UBS financial services 2006 NJ-AG $24,750,000
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
Wachovia Capital Markets LLC Wells Fargo financial services 2006 MULTI-AG $25,000,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 MD-AG $402,386
Wachovia Securities Wells Fargo financial services 2008 MULTI-AG $60,000,000
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo financial services 2011 NJ-AG $3,200,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 NY-AG (*) $75,000,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
Wells Fargo & Company Wells Fargo financial services 2018 NY-AG $65,000,000
BGC Financial, L.P. BGC Partners financial services 2019 CFTC $3,000,000
Wells Fargo Bank, N.A. Wells Fargo financial services 2019 CFTC $14,475,000
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners financial services 2019 CFTC $10,000,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
PNC Bank, National Association PNC Financial Services financial services 2019 CFTC $300,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
NatWest Markets Plc Royal Bank of Scotland financial services 2019 CFTC $850,000
Northern Trust Company Northern Trust financial services 2019 CFTC $1,000,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
HSBC Bank USA, N.A. HSBC financial services 2019 CFTC $650,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 CFTC $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 CFTC $300,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2020 SEC $586,000
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
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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.