Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Mylan N.V. Viatris pharmaceuticals 2019 SEC $30,000,000
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Presstek Inc. American Industrial Partners private equity (including portfolio companies) 2010 SEC $400,000
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
Oaktree Capital Management, LLC Oaktree Capital Management private equity (including portfolio companies) 2005 SEC $345,701
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SEC $552,086
Ladenburg Thalmann Asset Management Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $200,000
Oaktree Capital Management, L.P. Oaktree Capital Management private equity (including portfolio companies) 2018 SEC $100,000
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $65,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
ADT Inc. Apollo Global Management private equity (including portfolio companies) 2018 SEC $100,000
Carlyle Group Carlyle Group private equity (including portfolio companies) 2009 NY-AG $20,000,000
Riverstone Holdings LLC Riverstone Holdings private equity (including portfolio companies) 2009 NY-AG $30,000,000
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 AZ-SEC $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2002 FL-OFR $14,938
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 IL-SEC $10,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $150,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $25,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
American General Securities Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MS-SEC $215,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 MT-SEC $115,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 NE-DBF $40,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NH-BSR $190,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NJ-BOS $250,000
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 OR-FIN $100,000
SagePoint Financial Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SC-SEC $40,000
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
American General Securities Incorporated Reverence Capital Partners private equity (including portfolio companies) 2010 MULTI-FIN $215,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
Jones Lang LaSalle Incorporated Jones Lang LaSalle real estate 2014 SEC $150,000
Vereit, Inc. VEREIT Inc. real estate 2020 SEC $8,000,000
Office Depot, Inc. Office Depot retailing 2010 SEC $1,000,000
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc. Nordstrom retailing 2014 AZ-SEC $2,263,142
Ribbon Communications Inc. (fka Sonus Networks) Ribbon Communications telecommunications 2018 SEC $1,900,000
San Diego Gas & Electric Company Sempra Energy utilities and power generation 2010 CFTC $80,000
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
Waste Management, Inc. Waste Management waste management and environmental services 2001 CT-AG $457,000,000
Graybar Electric Company, Inc. Graybar Electric wholesalers 2006 CA-DFPI $45,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): 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.