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 Industrysort icon Year Agency Penalty Amount
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
Health Net Inc. Centene healthcare services 2016 SEC $340,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Omega Protein Corporation Cooke Inc. food products 2019 SEC $400,000
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Goldman Sachs & Co. Goldman Sachs financial services 2016 SEC $15,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2015 SEC $267,000,000
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLC UBS financial services 2015 SEC $17,500,000
UBS AG UBS financial services 2015 SEC $19,500,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2015 SEC $15,000,000
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services 2015 SEC $180,000,000
Edward D. Jones & Co. LP Jones Financial financial services 2015 SEC $20,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2015 SEC $7,000,000
Merrill Lynch Bank of America financial services 2015 SEC $10,900,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
BlackRock Advisors LLC BlackRock financial services 2015 SEC $12,000,000
UBS Securities LLC UBS financial services 2015 SEC $14,400,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
HSBC Private Bank (Suisse) HSBC financial services 2014 SEC $12,500,000
Bank of America Corporation Bank of America financial services 2014 SEC $7,650,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Credit Suisse Group AG Credit Suisse financial services 2014 SEC $196,000,000
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance financial services 2012 SEC $1,625,000
Mizuho Financial Group Mizuho Financial financial services 2012 SEC $127,500,000
OppenheimerFunds Inc. Invesco financial services 2012 SEC $35,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2012 SEC $26,600,000
Goldman Sachs & Co. Goldman Sachs financial services 2012 SEC $22,000,000
UBS Global Asset Management UBS financial services 2012 SEC $300,000
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
UBS Securities LLC UBS financial services 2011 SEC $8,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2011 SEC $30,400,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
TD Ameritrade Inc. Charles Schwab Corp. financial services 2011 SEC $10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 SEC $118,000,000
Bank of America Bank of America financial services 2010 SEC $150,000,000
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
Morgan Stanley Morgan Stanley financial services 2015 CFTC $300,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $280,000
Merrill Lynch Bank of America financial services 2014 CFTC $1,200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley financial services 2014 CFTC $200,000
JPMorgan Chase JPMorgan Chase financial services 2013 CFTC $100,000,000
ABN AMRO Clearing Chicago LLC ABN AMRO financial services 2013 CFTC $1,000,000
Goldman Sachs Goldman Sachs financial services 2012 CFTC $1,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 CFTC $200,000
JPMorgan Chase Bank JPMorgan Chase financial services 2012 CFTC $600,000
Citigroup Citigroup financial services 2012 CFTC $525,000
Morgan Stanley Morgan Stanley financial services 2012 CFTC $5,000,000
Goldman Sachs Execution & Clearing LP Goldman Sachs financial services 2012 CFTC $7,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2012 CFTC $140,000
BlackRock Institutional Trust Company NA BlackRock financial services 2012 CFTC $250,000
Merrill Lynch Bank of America financial services 2011 CFTC $350,000
State Street Bank and Trust Company State Street Corp. financial services 2016 SEC $382,400,000
Merrill Lynch Bank of America financial services 2016 SEC $10,000,000
Merrill Lynch Bank of America financial services 2016 SEC $415,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
Omega Advisors, Inc. Omega Advisors financial services 2015 SEC $134,026
Guggenheim Partners Investment Management LLC Guggenheim Partners financial services 2015 SEC $20,000,000
BMO Capital Markets GKST Inc. Piper Sandler financial services 2015 SEC $250,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
Citigroup Global Markets Inc. Citigroup financial services 2015 SEC $500,000
Goldman, Sachs & Co. Goldman Sachs financial services 2015 SEC $500,000
Hutchinson, Shockey, Erley & Co. Huntington Bancshares financial services 2015 SEC $220,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2015 SEC $500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2015 SEC $500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 SEC $500,000
The Northern Trust Company Northern Trust financial services 2015 SEC $60,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 SEC $400,000
Piper Jaffray & Co. Piper Sandler financial services 2015 SEC $500,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2015 SEC $500,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2015 SEC $500,000
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 SEC $15,000,000
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2014 SEC $61,800
Interactive Brokers LLC Interactive Brokers Group financial services 2014 SEC $56,000
Investment Professionals Inc. Ameriprise Financial financial services 2014 SEC $67,800
J.P. Morgan Securities JPMorgan Chase financial services 2014 SEC $54,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2014 SEC $61,200
Stifel Nicolaus & Co. Stifel Financial financial services 2014 SEC $60,000
TD Ameritrade Charles Schwab Corp. financial services 2014 SEC $100,800
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.