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
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
Universal Electronics Inc. Universal Electronics Inc. electrical and electronic equipment 2014 SEC $75,000
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Vereit, Inc. VEREIT Inc. real estate 2020 SEC $8,000,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Knight Capital Americas LLC Virtu Financial financial services 2013 SEC $12,000,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Noble Americas Corp. Vitol financial services 2010 CFTC $130,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
ING Voya Financial financial services 2006 MULTI-AG $33,000,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
ING Financial Partners, Inc. Voya Financial financial services 2008 IL-SEC $4,677,326
ING Financial Partners, Inc. Voya Financial financial services 2012 MN-FIN $5,000
ING Life Insurance and Annuity Company Voya Financial financial services 2006 NH-BSR $3,000,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 MO-SEC $172,161
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2016 NH-BSR $900,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. financial services 2008 OK-SEC $10,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MULTI-FIN $18,000,000
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Waste Management, Inc. Waste Management waste management and environmental services 2001 CT-AG $457,000,000
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
Wedbush Securities Inc. Wedbush Securities financial services 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Prudential Securities, Inc. Wells Fargo financial services 2003 SEC $382,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Norwest Investment Services, Inc. Wells Fargo financial services 2002 SEC $153,245
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
First Union Securities, Inc. Wells Fargo financial services 2000 SEC $408,931
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
Strong Capital Management Co. Wells Fargo financial services 2004 MULTI-AG (*) $115,000,000
Wachovia Capital Markets LLC Wells Fargo financial services 2006 MULTI-AG $25,000,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 MD-AG $402,386
Wachovia Securities Wells Fargo financial services 2008 MULTI-AG $60,000,000
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo financial services 2011 NJ-AG $3,200,000
Wells Fargo Wells Fargo financial services 2009 CA-AG $1,400,000,000
Wells Fargo & Company Wells Fargo financial services 2018 NY-AG $65,000,000
Wells Fargo Bank, N.A. Wells Fargo financial services 2019 CFTC $14,475,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
Wells Fargo & Co. Wells Fargo financial services 2020 SEC (*) $500,000,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo financial services 2010 CT-SEC $75,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2017 IL-SEC $270,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2010 IN-SEC $8,495
Wells Fargo Clearing Services, LLC Wells Fargo financial services 2019 MA-SEC $450,000
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
Wells Fargo Advisors LLC Wells Fargo financial services 2012 MD-SEC $50,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
Wachovia Securities LLC Wells Fargo financial services 2007 ND-SEC $75,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2016 NH-BSR $35,000
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
WELLS FARGO ADVISORS Wells Fargo financial services 2015 VA-SEC $205,000
Wells Fargo Advisors LLC Wells Fargo financial services 2016 VT-FIN $300,000
Wachovia Capital Markets LLC Wells Fargo financial services 2007 MULTI-FIN $24,650,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 MULTI-FIN $1,900,000
Wells Fargo & Co. Wells Fargo financial services 2020 MD-AG $20,000,000
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
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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.