Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
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
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
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $603,776
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 FINRA $752,686
Securities America Reverence Capital Partners private equity (including portfolio companies) 2014 FINRA $625,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 FINRA $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 FINRA $55,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 FINRA $322,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $16,300,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $2,400,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
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 Inc. 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.