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 Parent Parent Major Industrysort icon Year Agency Penalty Amount
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
UBS Financial Services UBS financial services 2014 SEC $56,400
Wedbush Securities Inc. Wedbush Securities financial services 2014 SEC $67,200
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
BlackRock Institutional Trust Company BlackRock financial services 2014 SEC $1,675,350
LavaFlow Inc. Citigroup financial services 2014 SEC $5,000,000
New York Stock Exchange IntercontinentalExchange Group financial services 2014 SEC $4,500,000
Transamerica Financial Advisors Aegon financial services 2014 SEC $1,107,248
Western Asset Management Company Franklin Resources financial services 2014 SEC $19,400,000
ConvergEx Group Cowen Inc. financial services 2013 SEC $107,424,429
TD Bank Toronto-Dominion Bank financial services 2013 SEC $15,000,000
Claritas Investments Ltd. Principal Financial financial services 2013 SEC $144,819
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
CR Intrinsic Investors SAC Capital financial services 2013 SEC $601,747,463
New York Stock Exchange IntercontinentalExchange Group financial services 2012 SEC $5,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
Merrill Lynch Bank of America financial services 2011 SEC $10,000,000
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp. U.S. Pension Trust Corp. financial services 2010 SEC $112,600,000
State Street Bank and Trust Company State Street Corp. financial services 2010 SEC $313,300,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group financial services 2016 CFTC $490,246,741
INTL FCStone Markets, LLC INTL FCStone financial services 2015 CFTC $200,000
FCStone, LLC INTL FCStone financial services 2015 CFTC $140,000
ICE Futures U.S. Inc. IntercontinentalExchange Group financial services 2015 CFTC $3,000,000
U.S. Bank National Association U.S. Bancorp financial services 2015 CFTC $18,000,000
MF Global Holdings Ltd. MF Global financial services 2014 CFTC $1,312,000,000
Hunter Wise Hunter Wise Commodities financial services 2014 CFTC $108,000,000
Global Futures & Forex, Ltd. GAIN Capital Holdings financial services 2014 CFTC $200,000
Macquarie Futures USA LLC Macquarie financial services 2013 CFTC $150,000
FCStone LLC INTL FCStone financial services 2013 CFTC $1,500,000
Interactive Brokers LLC Interactive Brokers Group financial services 2013 CFTC $225,000
Cantor Fitzgerald Cantor Fitzgerald financial services 2012 CFTC $700,000
Interactive Brokers LLC Interactive Brokers Group financial services 2012 CFTC $700,000
FCStone, LLC and Commodity Operations Inc. INTL FCStone financial services 2012 CFTC $260,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2011 CFTC $100,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Noble Americas Corp. Vitol financial services 2010 CFTC $130,000
UBS AG UBS financial services 2010 CFTC $130,000
Scotia Capital Inc. Scotiabank financial services 2010 CFTC $250,000
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
Interactive Brokers LLC Interactive Brokers Group financial services 2007 CFTC $175,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2005 CFTC $85,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
ICAP plc ICAP financial services 2009 SEC $25,000,000
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
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
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 SEC $9,763,634
Federal Home Loan Mortgage Corporation (Freddie Mac) Freddie Mac (Federal Home Loan Mortgage Corporation) financial services 2007 SEC $50,000,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
Swiss Re Financial Products Corporation Swiss Re financial services 2007 SEC $95,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Zurich Capital Markets Inc. Zurich Insurance financial services 2007 SEC $16,800,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
Goldman Sachs Execution and Clearing L.P. Goldman Sachs financial services 2007 SEC $2,000,000
Fred Alger Management, Inc. Alger Associates financial services 2007 SEC $40,000,000
Hartford Financial Services Group, Inc. Hartford Financial Services financial services 2006 SEC $55,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
Banc of America Securities LLC Bank of America financial services 2006 SEC $750,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2006 SEC $1,500,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2006 SEC $125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
Piper Jaffray & Co. Piper Sandler financial services 2006 SEC $125,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
SunTrust Capital Markets Inc. Truist Financial financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
American International Group, Inc. American International Group financial services 2006 SEC $800,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Federated Investors, Inc. Federated Hermes financial services 2005 SEC $72,000,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group financial services 2005 SEC $20,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
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
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 SEC $40,000,000
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.