Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$13,547,438,962115
UBS$11,679,855,33361
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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Merrill, Lynch, Pierce, Fenner and Smith, Inc. Bank of America financial services 2010 NJ-AG $728,260
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 CFTC $300,000
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FL-OFR $10,000
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2007 IL-SEC $40,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2012 IL-SEC $25,930,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2015 MA-SEC $2,500,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 MO-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 MO-SEC $2,121,579
Merrill Lynch Bank of America financial services 2002 NH-BSR $500,000
MERRILL LYNCH PIERCE FENNER & Bank of America financial services 2004 VA-SEC $268,723
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2018 VT-FIN $120,000
Merrill Lynch Bank of America financial services 2020 VT-FIN $125,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
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
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 CT-SEC $400,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 NH-BSR $26,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2020 FINRA $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 FINRA $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2017 FINRA $1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2016 FINRA $7,030,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services 2016 FINRA $2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 FINRA $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2014 FINRA $2,440,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2014 FINRA $4,000,000
Merrill Lynch Bank of America financial services 2014 FINRA $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2013 FINRA $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 FINRA $1,373,000
Merrill Lynch Bank of America financial services 2012 FINRA $1,074,200
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2012 FINRA $500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2012 FINRA $2,800,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2012 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2011 FINRA $1,000,000
Merrill Lynch Bank of America financial services 2011 FINRA $3,000,000
Merrill Lynch Bank of America financial services 2010 FINRA $2,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 FINRA $150,000
Merrill Lynch Bank of America financial services 2008 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2008 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 FINRA $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2005 FINRA $14,000,000
Banc of America Investment Services, Inc. Bank of America financial services 2005 FINRA $90,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FINRA $1,600,000
Banc of America Investment Services Inc. Bank of America financial services 2004 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2004 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2004 FINRA $109,527
Robertson Stephens, Inc. Bank of America financial services 2004 FINRA $275,000
Robertson Stephens, Inc. Bank of America financial services 2003 FINRA (*) $14,000,000
BancBoston Robertson Stephens Bank of America financial services 2001 FINRA $10,000
Banc of America Securities LLC Bank of America financial services 2001 FINRA $40,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2001 FINRA $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2000 FINRA $97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2021 FINRA $11,650,000
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
Santander Securities LLC Banco Santander financial services 2019 SEC $270,539
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
Santander Securities of Puerto Rico Banco Santander financial services 2011 FINRA $2,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo financial services 2011 NJ-AG $1,900,000
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
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
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
Next Financial Group, Inc. Atria Wealth Solutions financial services 2012 AL-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 MA-SEC $150,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2010 MT-SEC $5,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2014 NH-BSR $140,000
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2019 NH-BSR $325,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 TX-SEC $600,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2017 VA-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2011 FINRA $2,050,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2009 FINRA $1,000,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Alfred C. Toepfer International, Inc. Archer Daniels Midland agribusiness 2015 CFTC $400,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2013 CFTC $425,000
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.