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Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$78,346,186,381
Number of Penalty Records: 
5,568
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$13,424,705,23577
UBS$11,623,979,90947
Citigroup$8,095,660,13535
JPMorgan Chase$5,978,549,59944
Morgan Stanley$4,122,853,726105
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,888,695,98726
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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 Parent Parent Major Industry Year Agency Penalty Amountsort icon
Pentagon Capital Management   2012 SEC $98,600,000
AEGON USA Investment Management LLC et al. Aegon financial services 2018 SEC $97,600,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Pilgrim Baxter & Associates, Ltd.   2004 SEC $90,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
State Street Bank and Trust Company State Street Corp. financial services 2019 SEC $88,780,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Crossfire Trading, LLC   2011 CFTC $84,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 SEC $80,000,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
Bear Stearns & Co. LLC JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2002 MULTI-AG (*) $80,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $77,400,000
OppenheimerFunds, Inc. Invesco financial services 2009 IL-AG $77,230,000
Black Diamond Capital Solutions LLC, Life Plus Group LLC and Black Diamond Holdings LLC   2015 CFTC $76,000,000
State Street Bank and Trust Co. State Street Corp. financial services 2016 MA-AG (*) $75,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 NY-AG (*) $75,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 MULTI-FIN (*) $75,000,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $73,200,000
Federated Investors, Inc. Federated Hermes financial services 2005 SEC $72,000,000
General Reinsurance Corporation Berkshire Hathaway diversified 2009 OH-AG $72,000,000
Luca International Group, LLC   2016 SEC $68,300,000
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
St. Paul Travelers Companies Inc. Travelers financial services 2005 NM-AG $67,500,000
Tower Research Capital LLC   2019 CFTC $67,493,849
OppenheimerFunds Invesco financial services 2010 NM-AG $67,300,000
AIC Inc.   2014 SEC $66,760,521
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
Wells Fargo & Company Wells Fargo financial services 2018 NY-AG $65,000,000
Robinhood Financial LLC   2020 SEC $65,000,000
LaBranche & Co., LLC   2004 SEC $63,518,760
Wachovia Securities Wells Fargo financial services 2008 MULTI-AG $60,000,000
Fleet Specialist, Inc.   2004 SEC $59,097,469
Van der Moolen Specialists USA, LLC   2004 SEC $57,675,104
MXBK Group S.A. de C.V. and MBFX S.A.   2013 CFTC $57,000,000
Focus Media Holding Limited   2015 SEC $55,600,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services financial services 2006 SEC $55,000,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2018 FED $54,750,000
Osiris Fund Limited Partnership and Osiris Partners, LLC   2014 NJ-BOS $54,600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
AR Capital LLC   2019 SEC $53,000,000
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC   2018 SEC $51,400,000
Golden California Regional Center, LLC   2019 SEC $50,295,232
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) financial services 2007 SEC $50,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
Franklin Advisers, Inc. Franklin Resources financial services 2004 SEC $50,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 SEC $50,000,000
Goldman Sachs Goldman Sachs financial services 2015 NY-DFS $50,000,000
Bank of America Bank of America financial services 2008 MULTI-FIN (*) $50,000,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
The Bank of Nova Scotia Scotiabank financial services 2020 CFTC $50,000,000
Centurion Asset Management, Inc.   2011 CFTC $49,700,000
Forward Investment Group, LLC   2011 CFTC $46,900,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
Stratcomm Media Ltd.   2003 SEC $45,400,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 NY-AG (*) $45,000,000
Merrill Lynch & Co. Bank of America financial services 2013 NJ-AG $45,000,000
Winsome Investment Trust and US Ventures   2014 CFTC $44,000,000
Value Line Inc.   2009 SEC $43,705,765
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2019 SEC $42,700,000
Super Absorbent Co., Synchronized Funding, LLC   2010 CA-DFPI $42,650,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2018 SEC $42,000,000
Bank of America Merrill Lynch Bank of America financial services 2018 NY-AG $42,000,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd.   2008 SEC $41,774,923
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications Corporation, and Wireless Cable Television of Shreveport Limited Liability Company   2001 SEC $41,727,403
Trigon Group LLC   2010 CFTC $41,200,000
ChinaMedia Express Holdings   2013 SEC $41,144,082
Axcess Automation LLC and Axcess Fund Management LLC   2012 CFTC $41,000,000
Barki LLC   2011 CFTC $40,904,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Ritchie Capital Management, L.L.C. and Ritchie Capital Global Trading, Ltd.,   2008 NY-AG $40,000,000
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC   2008 SEC $39,900,000
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
Trade, LLC   2013 CFTC $39,800,000
First Eagle Investment Management and FEF Distributors   2015 SEC $39,748,260
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Protege Financial & Insurance Service, Inc. et al.   2014 CA-DFPI $38,200,000
InovaTrade, Inc.   2013 CFTC $38,000,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
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.