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
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2018 CFTC $160,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
LendingClub Asset Management LLC LendingClub Corp. financial services 2018 SEC $5,000,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
Heartland Payment Systems, LLC Global Payments Inc. financial services 2018 SEC $2,160,000
BB&T Securities, LLC Truist Financial financial services 2018 SEC $100,000
LPL Financial Corporation LPL Financial financial services 2008 SEC $275,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
Gabelli Funds LLC Gamco Investors Inc. financial services 2008 SEC $16,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Smith Barney Fund Management LLC Franklin Resources financial services 2007 SEC $450,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2007 SEC $350,000
AllianceBernstein, L.P. Equitable Holdings financial services 2007 SEC $450,000
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
Citigroup Global Markets, Inc. Citigroup financial services 2007 SEC $200,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Waddell & Reed, Inc. Macquarie financial services 2006 SEC $50,000,000
Metropolitan Life Insurance Company MetLife financial services 2006 SEC $250,000
New England Securities Corp. MetLife financial services 2006 SEC $2,614,865
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2006 SEC $558,806
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
UBS Securities LLC UBS financial services 2005 SEC $700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2004 SEC $2,000,000
Brut, LLC Nasdaq Inc. financial services 2003 SEC $45,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2002 SEC $75,000
Norwest Investment Services, Inc. Wells Fargo financial services 2002 SEC $153,245
Western Asset Management Co. Franklin Resources financial services 2001 SEC $50,000
Legg Mason Fund Adviser, Inc. Franklin Resources financial services 2001 SEC $50,000
ABN AMRO Incorporated ABN AMRO financial services 2001 SEC $200,000
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2001 SEC $50,000
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
First Union Securities, Inc. Wells Fargo financial services 2000 SEC $408,931
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Fahnestock & Co., Inc. Oppenheimer Holdings financial services 2000 SEC $20,000
Janney Montgomery Scott LLC Penn Mutual financial services 2000 SEC $100,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
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 Equitable Holdings 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 Equitable Holdings financial services 2003 NY-AG (*) $600,000,000
Allianz Dresdner Asset Management of America LP Allianz financial services 2004 NJ-AG $18,000,000
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.