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
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
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2011 FINRA $5,000,000
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2008 FINRA $1,650,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $300,000
SunTrust Capital Markets, Inc. Truist Financial financial services 2005 FINRA $100,000
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
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
Total Gas & Power North America, Inc. Total S.A. oil and gas 2015 CFTC $3,600,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
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
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 FINRA $150,000
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
Nuveen Investments, LLC TIAA financial services 2011 FINRA $3,000,000
John Nuveen & Co., Inc. TIAA financial services 2000 FINRA $6,630,000
Thrivent Investment Management Inc. Thrivent Financial financial services 2020 IL-SEC $400,000
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
Beam Suntory Inc. Suntory beverages 2018 SEC $8,181,838
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
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2015 SEC $500,000
Stifel Nicolaus & Co. Stifel Financial financial services 2014 SEC $60,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
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
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services 2020 FINRA $3,650,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2015 FINRA $2,900,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
Thomas Weisel Partners Stifel Financial financial services 2005 FINRA $1,750,000
Stifel Nicolaus & Company Stifel Financial financial services 2004 FINRA $125,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2001 FINRA $225,000
Fiat Chrysler Automobiles N.V. Stellantis motor vehicles 2020 SEC $9,500,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
State Street Research & Management Company State Street Corp. financial services 2005 SEC $585,743
State Street Bank State Street Corp. financial services 2010 WA-AG $11,700,000
State Street Bank & Trust Co. State Street Corp. financial services 2010 MA-AG (*) $300,000,000
State Street Bank and Trust Co. State Street Corp. financial services 2016 MA-AG (*) $75,500,000
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
State Street Global Advisors State Street Corp. financial services 2012 MA-SEC $5,000,000
State Street Bank and Trust Company State Street Corp. financial services 2018 NH-BSR $325,000
State Street Global Markets LLC State Street Corp. financial services 2005 FINRA $1,400,000
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
State Farm VP Management Corp. State Farm Insurance financial services 2013 PA-BKG $75,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
Societe Generale International Limited Societe Generale financial services 2019 CFTC $2,500,000
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
SG Americas Securities, LLC Societe Generale financial services 2020 FINRA $1,550,000
SG Americas Securities, Inc. Societe Generale financial services 2013 FINRA $675,000
SG Americas Securities, LLC Societe Generale financial services 2005 FINRA $4,478,000
San Diego Gas & Electric Company Sempra Energy utilities and power generation 2010 CFTC $80,000
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Securian Financial Services, Inc. Securian Financial financial services 2009 MO-SEC $79,445
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
Scotia Capital Inc. Scotiabank financial services 2010 CFTC $250,000
Bank of Nova Scotia Scotiabank financial services 2018 CFTC $800,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-BKG $10,510
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Summit Energy Services Inc. Schneider Electric electrical and electronic equipment 2015 CFTC $140,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
CR Intrinsic Investors SAC Capital financial services 2013 SEC $601,747,463
Standard and Poor's Financial Services LLC S&P Global information technology 2015 MULTI-AG $19,000,000
S&P Dow Jones Indices LLC S&P Global information technology 2021 SEC $9,000,000
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2011 SEC $30,400,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2015 SEC $500,000
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.