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
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2005 SEC $1,000,000
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
Legg Mason Wood Walker, Incorporated Franklin Resources financial services 2001 SEC $50,000
Franklin/Templeton Distributors, Inc. Franklin Resources financial services 2004 CA-AG $18,000,000
Franklin Advisers and Inc. Franklin Resources financial services 2020 SEC $250,000
Franklin Templeton Investments Corp. Franklin Resources financial services 2020 SEC $75,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Flowserve Corporation Flowserve industrial equipment 2005 SEC $350,000
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 SEC $20,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2013 IN-SEC $8,500
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2018 FINRA $6,000,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 FINRA $963,534
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2009 FINRA $150,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2009 FINRA $1,750,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
Fiserv Securities, Inc. Fidelity Investments financial services 2005 SEC $15,000,000
Fidelity Brokerage Services LLC Fidelity Investments financial services 2011 IN-SEC $7,500
Fidelity Brokerage Services LLC Fidelity Investments financial services 2015 FINRA $1,030,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services 2007 FINRA $400,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services 2007 FINRA $3,750,000
Federated Investors, Inc. Federated Hermes financial services 2005 SEC $72,000,000
Federated Investors, Inc. Federated Hermes financial services 2005 NY-AG (*) $100,000,000
Facebook Inc. Facebook information technology 2019 SEC $100,000,000
Ernst & Young LLP Ernst & Young business services 2008 SEC $2,918,987
Ernst & Young LLP Ernst & Young business services 2007 SEC $1,587,170
Alliance Capital Management L.P. Equitable Holdings financial services 2003 SEC $250,000,000
AXA Advisors, LLC Equitable Holdings financial services 2012 SEC $100,000
AXA Advisors, LLC Equitable Holdings financial services 2009 SEC $50,000
AllianceBernstein, L.P. Equitable Holdings financial services 2007 SEC $450,000
AXA Advisors, LLC Equitable Holdings financial services 2019 SEC $1,134,152
Alliance Capital Management Equitable Holdings financial services 2003 NY-AG (*) $600,000,000
AllianceBernstein L.P. Equitable Holdings financial services 2013 CO-SEC $20,232
AllianceBernstein L.P. Equitable Holdings financial services 2012 DE-SEC $20,000
AXA Advisors, LLC Equitable Holdings financial services 2010 MO-SEC $92,015
AXA Advisors LLC Equitable Holdings financial services 2011 OR-FIN $80,000
MONY Securities Corporation Equitable Holdings financial services 2003 TN-SEC $10,000
AXA Advisors, LLC Equitable Holdings financial services 2019 FINRA $772,000
AXA Advisors, LLC Equitable Holdings financial services 2015 FINRA $600,000
AXA Advisors, LLC Equitable Holdings financial services 2007 FINRA $2,600,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services 2007 FINRA $100,000
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
Calpine Energy Services, L.P. Energy Capital Partners private equity (including portfolio companies) 2004 CFTC $1,500,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. Endurance International Group business services 2018 SEC $8,000,000
EnCap Investments L.P. Encap Investments private equity (including portfolio companies) 2018 SEC $500,000
Duke Energy Corporation Duke Energy utilities and power generation 2017 DOJ_ANTITRUST $600,000
The Dow Chemical Company Dow Inc. chemicals 2018 SEC $1,750,000
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
Diageo plc Diageo beverages 2020 SEC $5,000,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $73,200,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
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
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank financial services 2008 MULTI-AG $3,348,333,333
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2016 NY-AG (*) $37,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2013 MA-SEC $17,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2017 FINRA $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $3,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $12,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $6,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2015 FINRA $1,400,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2014 FINRA $4,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2013 FINRA $6,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 FINRA $7,500,000
Deutsche Bank Securities Deutsche Bank financial services 2010 FINRA $575,000
Deutsche Bank Deutsche Bank financial services 2009 FINRA $152,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services 2008 FINRA $150,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,290,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2002 FINRA (*) $1,650,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Deloitte & Touche Deloitte business services 2012 MI-AG $19,900,000
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
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.