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
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays financial services 2016 FINRA $1,300,000
Barclays Capital, Inc. Barclays financial services 2015 FINRA $13,750,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $5,000,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Barclays Capital Inc. Barclays financial services 2011 FINRA $3,000,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2013 FL-AG $28,000,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
Merrill Lynch Bank of America financial services 2015 SEC $10,900,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Bank of America Bank of America financial services 2010 SEC $150,000,000
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
Merrill Lynch Bank of America financial services 2011 CFTC $350,000
Merrill Lynch Bank of America financial services 2016 SEC $10,000,000
Merrill Lynch Bank of America financial services 2016 SEC $415,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2015 SEC $500,000
Merrill Lynch Bank of America financial services 2011 SEC $10,000,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 SEC $7,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 SEC $1,000,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America financial services 2005 SEC $375,000,000
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2003 SEC $200,000,000
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America financial services 2018 SEC $1,404,000
Bank of America Corporation Bank of America financial services 2014 SEC $20,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $8,900,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2018 SEC $15,700,000
Merrill Lynch, Pierce and Fenner & Smith Incorporated Bank of America financial services 2018 SEC $8,872,723
Banc of America Investment Services, Inc. Bank of America financial services 2009 SEC $150,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLC Bank of America financial services 2005 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Banc of America Capital Management LLC et al. Bank of America financial services 2004 NY-AG (*) $375,000,000
Banc of America Securities LLC Bank of America financial services 2008 MULTI-AG $4,550,000,000
Banc of America Securities LLC Bank of America financial services 2010 NJ-AG $1,268,393
Bank of America Bank of America financial services 2012 MULTI-AG $2,430,000,000
Bank of America Bank of America financial services 2013 MULTI-AG $500,000,000
Bank of America Merrill Lynch Bank of America financial services 2018 NY-AG $42,000,000
FleetBoston Financial Corp. Bank of America financial services 2004 NY-AG (*) $300,000,000
Merrill Lynch Bank of America financial services 2009 DE-AG $459,000
Merrill Lynch Bank of America financial services 2002 DE-AG $500,000
Merrill Lynch Bank of America financial services 2010 NJ-AG $4,871,620
Merrill Lynch Bank of America financial services 2002 NY-AG $100,000,000
Merrill Lynch Bank of America financial services 2009 OH-AG $475,000,000
Merrill Lynch & Co. Bank of America financial services 2008 MULTI-AG $3,458,333,333
Merrill Lynch & Co. Bank of America financial services 2013 NJ-AG $45,000,000
Merrill Lynch & Co. Inc. Bank of America financial services 2002 MULTI-AG (*) $100,000,000
Merrill Lynch Commodities, Inc. Bank of America financial services 2019 CFTC (*) $24,900,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 NJ-AG $10,000,000
Merrill, Lynch, Pierce, Fenner and Smith, Inc. Bank of America financial services 2010 NJ-AG $728,260
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 CFTC $300,000
Merrill Lynch, Pierce and Fenner & Smith, Incorporated Bank of America financial services 2020 SEC $325,376
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FL-OFR $10,000
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2007 IL-SEC $40,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2012 IL-SEC $25,930,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2015 MA-SEC $2,500,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 MO-SEC $20,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 MO-SEC $2,121,579
Merrill Lynch Bank of America financial services 2002 NH-BSR $500,000
MERRILL LYNCH PIERCE FENNER & Bank of America financial services 2004 VA-SEC $268,723
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 VA-SEC $11,500
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2018 VT-FIN $120,000
Merrill Lynch Bank of America financial services 2020 VT-FIN $125,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2005 WI-FIN $7,000
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.