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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2017 SEC $300,000
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2019 SEC $2,700,000
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2011 IL-SEC $80,224
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2010 MO-SEC $211,617
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
Stifel, Nicolaus & Company Inc. Stifel Financial financial services 2014 NE-DBF $61,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
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
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 SEC $225,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2003 SEC $917,858
Massachusetts Financial Services Company Sun Life Financial financial services 2018 SEC $1,900,000
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 NY-AG $350,000,000
Beam Suntory Inc. Suntory beverages 2018 SEC $8,181,838
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
TD Ameritrade Inc. TD Ameritrade financial services 2011 SEC $10,000,000
TD Ameritrade TD Ameritrade financial services 2014 SEC $100,800
Scottrade, Inc. TD Ameritrade financial services 2008 SEC $950,000
TD Ameritrade, Inc. TD Ameritrade financial services 2018 SEC $500,000
TD Ameritrade, Inc. TD Ameritrade financial services 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. TD Ameritrade financial services 2015 MA-AG $160,000
TD Ameritrade Inc. TD Ameritrade financial services 2015 TX-SEC $400,000
Scottrade Inc. TD Ameritrade financial services 2016 TX-SEC $100,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
TD Securities (USA) LLC Toronto-Dominion Bank financial services 2016 SEC $500,000
TD Options LLC Toronto-Dominion Bank financial services 2009 SEC $1,000,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
SunTrust Capital Markets Inc. Truist Financial financial services 2006 SEC $125,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
BB&T Securities, LLC Truist Financial financial services 2016 SEC $200,000
BB&T Securities, LLC Truist Financial financial services 2015 SEC $200,000
BB&T Securities, LLC Truist Financial financial services 2018 SEC $100,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
BB&T Securities, LLC Truist Financial financial services 2019 SEC $376,059
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
Branch Banking and Trust Company Truist Financial financial services 2016 SC-SEC $97,500
U.S. Bank National Association U.S. Bancorp financial services 2015 CFTC $18,000,000
U.S. Bank Municipal Securities Group U.S. Bancorp financial services 2015 SEC $60,000
U.S. Bank National Association U.S. Bancorp financial services 2005 SEC $500,000
U.S. Bancorp Investments, Inc. U.S. Bancorp financial services 2020 SEC $15,992,441
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services 2010 SEC $112,600,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS financial services 2015 SEC $17,500,000
UBS AG UBS financial services 2015 SEC $19,500,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
UBS Securities LLC UBS financial services 2015 SEC $14,400,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2012 SEC $26,600,000
UBS Global Asset Management UBS financial services 2012 SEC $300,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
UBS Financial Services UBS financial services 2014 SEC $56,400
UBS AG UBS financial services 2010 CFTC $130,000
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
UBS Financial Services, Inc. UBS financial services 2017 SEC $3,500,000
UBS Financial Services Inc. UBS financial services 2015 SEC $480,000
UBS AG UBS financial services 2018 CFTC $15,000,000
UBS O'Connor, LLC UBS financial services 2013 SEC $5,297,716
UBS Securities LLC UBS financial services 2005 SEC $700,000
UBS Financial Services Inc. UBS financial services 2018 SEC $5,000,000
UBS UBS financial services 2010 MI-AG $117,000,000
UBS Financial Services Inc. UBS financial services 2006 NJ-AG $24,750,000
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS financial services 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS financial services 2012 NH-BSR $72,500
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS financial services 2014 VT-FIN $325,000
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
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
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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.