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
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2010 FINRA $800,000
Morgan Stanley & Co. Morgan Stanley financial services 2009 FINRA $7,200,000
Morgan Stanley & Co. Morgan Stanley financial services 2007 FINRA $12,500,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2007 FINRA $6,100,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2006 FINRA $200,000
Morgan Stanley DW, Inc. Morgan Stanley financial services 2005 FINRA $6,100,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 FINRA $2,650,000
Morgan Stanley DW Inc Morgan Stanley financial services 2004 FINRA $336,510
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $2,200,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $38,312
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2004 FINRA $5,390,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA $2,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Morgan Stanley financial services 2002 FINRA $5,000,000
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2000 FINRA $200,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2000 FINRA $495,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $15,000,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Mizuho Financial Group Mizuho Financial financial services 2012 SEC $127,500,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Mizuho Bank, Ltd. Mizuho Financial financial services 2018 CFTC $250,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
Mitsubishi UFJ Securities (USA), Inc. Mitsubishi Group diversified 2016 SEC $20,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
Mitsubishi Corporation RtM Japan Ltd. Mitsubishi Group diversified 2019 CFTC $500,000
Mitsubishi International Corporation Mitsubishi Group diversified 2019 CFTC $400,000
MF Global Holdings Ltd. MF Global financial services 2014 CFTC $1,312,000,000
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Metropolitan Life Insurance Company MetLife financial services 2006 SEC $250,000
New England Securities Corp. MetLife financial services 2006 SEC $2,614,865
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
MetLife Securities, Inc. MetLife financial services 2010 IL-SEC $135,000
MetLife, Inc. MetLife financial services 2018 MA-SEC $1,000,000
MetLife Securities, Inc. MetLife financial services 2006 MS-SEC $50,000
Metlife Investors USA Insurance Co MetLife financial services 2012 MT-SEC $5,000
MetLife Securities MetLife financial services 2005 OR-FIN $12,000
MetLife Securities, Inc. MetLife financial services 2016 FINRA $25,000,000
MetLife Securities, Inc. MetLife financial services 2015 FINRA $649,748
MetLife Securities, Inc. MetLife financial services 2009 FINRA $1,200,000
New England Securities MetLife financial services 2009 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
Metropolitan Life Insurance Co. MetLife financial services 2004 FINRA $375,000
New England Securities MetLife financial services 2004 FINRA $200,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
MBIA, Inc. MBIA financial services 2007 NY-AG $25,000,000
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance financial services 2012 SEC $1,625,000
MML Investors Services LLC Massachusetts Mutual Life Insurance financial services 2015 PA-BKG $100,000
MML Investors Services LLC Massachusetts Mutual Life Insurance financial services 2012 RI-FIN $250,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services 2007 FINRA $473,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services 2004 FINRA $250,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 MA-SEC $4,000,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 SEC $2,109,458
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
Marsh and McLennan Marsh & McLennan financial services 2009 MULTI-AG $400,000,000
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
John Hancock Life Insurance Co. Manulife Financial financial services 2014 MA-AG $550,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 SEC $15,000,000
Macquarie Futures USA LLC Macquarie financial services 2013 CFTC $150,000
Macquarie Capital Investment Management LLC, et al Macquarie financial services 2015 SEC $120,000
Waddell & Reed, Inc. Macquarie financial services 2006 SEC $50,000,000
Waddell & Reed, Inc. Macquarie financial services 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Macquarie financial services 2003 FL-OFR $8,800
Waddell & Reed, Inc. Macquarie financial services 2006 MO-SEC $172,161
Waddell & Reed, Inc. Macquarie financial services 2005 MT-SEC $25,000
Waddell & Reed, Inc. Macquarie financial services 2016 NH-BSR $900,000
Waddell & Reed Inc. Macquarie financial services 2008 OK-SEC $10,000
Waddell & Reed, Inc. Macquarie financial services 2005 MULTI-FIN $18,000,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 FINRA $2,950,000
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
MacAndrews & Forbes Holdings Inc MacAndrews & Forbes diversified 2013 DOJ_ANTITRUST $720,000
MacAndrews & Forbes MacAndrews & Forbes diversified 2013 FTC $720,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
M&T Securities, Inc. M&T Bank financial services 2009 FINRA $200,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
LPL Financial Corporation LPL Financial financial services 2008 SEC $275,000
LPL Financial LLC LPL Financial financial services 2019 SEC $9,333,516
LPL Financial LLC LPL Financial financial services 2019 MULTI-AG $25,848,000
LPL Financial, LLC LPL Financial financial services 2017 NJ-AG $975,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
LPL Financial LLC LPL Financial financial services 2018 AL-SEC $80,000
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
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.