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 Parent Parent Major Industrysort icon Year Agency Penalty Amount
Jefferies LLC Jefferies Financial Group diversified 2014 SEC $25,000,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
Forex Capital Markets LLC Jefferies Financial Group diversified 2011 CFTC $14,200,000
Forex Capital Markets Ltd. Jefferies Financial Group diversified 2011 CFTC $140,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
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
Jefferies LLC Jefferies Financial Group diversified 2016 SEC $500,000
Altaba Inc. Altaba diversified 2018 SEC $35,000,000
Biglari Capital LLC Biglari Holdings diversified 2018 SEC $75,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
General Reinsurance Corporation Berkshire Hathaway diversified 2009 OH-AG $72,000,000
Mitsubishi Corporation RtM Japan Ltd. Mitsubishi Group diversified 2019 CFTC $500,000
Mitsubishi International Corporation Mitsubishi Group diversified 2019 CFTC $400,000
Heraeus Metals New York LLC Heraeus diversified 2019 CFTC $130,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2011 FINRA $1,925,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
Summit Energy Services Inc. Schneider Electric electrical and electronic equipment 2015 CFTC $140,000
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
Universal Electronics Inc. Universal Electronics Inc. electrical and electronic equipment 2014 SEC $75,000
Broadcom Corp. Broadcom electrical and electronic equipment 2009 NM-AG $160,500,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Toshiba Corporation Toshiba electrical and electronic equipment 2019 FTC $2,500,000
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
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
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.