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
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
WELLS FARGO ADVISORS Wells Fargo financial services 2015 VA-SEC $205,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2017 VA-SEC $60,000
LINCOLN FINANCIAL SECURITIES Lincoln National financial services 2018 VA-SEC $20,000
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
Solium Financial Services LLC Morgan Stanley financial services 2019 VA-SEC $10,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
UBS Financial Services Inc. UBS financial services 2014 VT-FIN $325,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Wells Fargo Advisors LLC Wells Fargo financial services 2016 VT-FIN $300,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2018 VT-FIN $120,000
Solium Financial Services LLC Morgan Stanley financial services 2020 VT-FIN $6,900
Merrill Lynch Bank of America financial services 2020 VT-FIN $125,000
Solium Financial Services LLC Morgan Stanley financial services 2020 WA-FIN $33,753
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 WA-FIN $55,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 WA-FIN $669,500
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 WA-FIN $325,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2007 WI-FIN $50,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2009 MULTI-FIN $720,000
Amerisave Mortgage Corporation AmeriSave Mortgage financial services 2013 MULTI-FIN $2,300,000
AmSouth Investment Services Inc. Regions Financial financial services 2004 MULTI-FIN $225,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial financial services 2012 MULTI-FIN $10,641,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Citigroup Global Markets Inc. Citigroup financial services 2010 MULTI-FIN (*) $100,000,000
Citigroup Global Markets Inc. Citigroup financial services 2003 MULTI-FIN (*) $150,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 MULTI-FIN $1,965,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 MULTI-FIN (*) $75,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
E*TRADE Securities LLC E-Trade Financial financial services 2011 MULTI-FIN $5,000,000
Goldman Sachs Goldman Sachs financial services 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 MULTI-FIN $2,800,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-FIN (*) $25,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 MULTI-FIN (*) $25,000,000
LPL Financial LLC LPL Financial financial services 2015 MULTI-FIN $1,425,000
LPL Financial LLC LPL Financial financial services 2018 MULTI-FIN $26,000,000
Merrill Lynch Bank of America financial services 2010 MULTI-FIN $26,563,094
Merrill Lynch Bank of America financial services 2008 MULTI-FIN (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2008 MULTI-FIN (*) $35,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2009 MULTI-FIN $8,500,000
Morgan Stanley & Co. Morgan Stanley financial services 2003 MULTI-FIN (*) $25,000,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC financial services 2015 MULTI-FIN $5,160,000
ProEquities, Inc Dai-ichi Life financial services 2012 MULTI-FIN $435,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2011 MULTI-FIN $1,750,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2014 MULTI-FIN $2,800,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2009 MULTI-FIN $525,000
Thomas Weisel Partners LLC Stifel Financial financial services 2005 MULTI-FIN (*) $5,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 MULTI-FIN (*) $12,500,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
UBS Securities LLC and UBS Financial Services Inc. UBS financial services 2008 MULTI-FIN (*) $150,000,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
UVEST Financial Services Group, Inc. LPL Financial financial services 2013 MULTI-FIN $750,000
Wachovia Capital Markets LLC Wells Fargo financial services 2007 MULTI-FIN $24,650,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MULTI-FIN $18,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 MULTI-FIN $1,900,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 CT-SEC $400,000
Solium Financial Services LLC Morgan Stanley financial services 2020 FL-OFR $79,045
Wells Fargo & Co. Wells Fargo financial services 2020 MD-AG $20,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley financial services 2020 SD-SEC $5,750
Northern Trust Hedge Fund Services LLC Northern Trust financial services 2020 SEC $167,629
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TX-SEC $46,073
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Omega Protein Corporation Cooke Inc. food products 2019 SEC $400,000
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Health Net Inc. Centene healthcare services 2016 SEC $340,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
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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.