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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
Wells Fargo Securities, LLC Wells Fargo financial services 2014 FINRA $4,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2013 FINRA $3,250,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2012 FINRA $1,931,488
Wells Fargo Investments, LLC Wells Fargo financial services 2011 FINRA $2,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2011 FINRA $1,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 FINRA $275,000
Wachovia Securities, LLC Wells Fargo financial services 2009 FINRA $1,400,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services 2009 FINRA $1,100,000
Wachovia Securities Wells Fargo financial services 2009 FINRA $4,500,000
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 FINRA $300,000
Wells Fargo Securities, LLC Wells Fargo financial services 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo financial services 2007 FINRA $2,000,000
Wells Fargo Investments Wells Fargo financial services 2005 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2005 FINRA $2,970,000
Wachovia Securities LLC Wells Fargo financial services 2004 FINRA $650,000
Wells Fargo Investments, LLC Wells Fargo financial services 2004 FINRA $150,000
Wachovia Securities, LLC. Wells Fargo financial services 2004 FINRA $39,486
Prudential Securities Incorporated Wells Fargo financial services 2001 FINRA $20,000
Prudential Securities, Inc. Wells Fargo financial services 2001 FINRA $10,000
First Union Brokerage Services, Inc. Wells Fargo financial services 2001 FINRA $32,500
First Union Securities, Inc. Wells Fargo financial services 2000 FINRA $350,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
Prudential Securities, Inc. Wells Fargo financial services 2000 FINRA $100,000
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
Zions Direct, Inc. Zions Bancorporation financial services 2010 FINRA $225,000
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
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.