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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
VALIC Financial Advisors Inc. American International Group financial services 2020 SEC $39,900,000
VALIC Financial Advisors, Inc. American International Group financial services 2016 FINRA $1,750,000
SunAmerica Securities, Inc. American International Group financial services 2009 FINRA $300,000
SunAmerica Securities, Inc. American International Group financial services 2005 FINRA $2,500,000
SunAmerica Securities, Inc. American International Group financial services 2004 FINRA $100,000
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Investment Professionals Inc. Ameriprise Financial financial services 2014 SEC $67,800
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 SEC $17,300,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $15,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc. Ameriprise Financial financial services 2005 SEC $140,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2017 SEC $8,750,000
Columbia Management Investment Services Corp. Ameriprise Financial financial services 2017 SEC $250,000
Ameriprise Financial Services Ameriprise Financial financial services 2018 SEC $230,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SEC $4,500,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NJ-AG $5,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 NJ-AG $375,000
American Express Financial Advisors Ameriprise Financial financial services 2000 AZ-SEC $125,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 CA-DFPI $115,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MA-SEC $400,000
Investment Professionals, Inc. Ameriprise Financial financial services 2017 MA-SEC $100,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MD-SEC $50,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2002 MN-FIN $5,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2005 MN-FIN $2,000,000
Investment Professionals, Inc. Ameriprise Financial financial services 2009 MO-SEC $52,500
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 MS-SEC $150,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NH-BSR $7,375,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2014 NH-BSR $90,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 NH-BSR $30,800
Ameriprise Advisor Services Inc. Ameriprise Financial financial services 2009 RI-FIN $48,411
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
AMERIPRISE FINANCIAL SERVICES, INC. Ameriprise Financial financial services 2016 VA-SEC $14,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 WA-FIN $55,000
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2009 MULTI-FIN $720,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 FINRA $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 FINRA $750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $12,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
American Express Financial Advisors Ameriprise Financial financial services 2005 FINRA $13,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 FINRA $700,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2004 FINRA $300,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2002 FINRA $350,000
Amerisave Mortgage Corporation AmeriSave Mortgage financial services 2013 MULTI-FIN $2,300,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 SEC $200,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2014 IA-INS $10,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Ameritas Investment Company LLC Ameritas Mutual Holding Company financial services 2020 PA-BKG $100,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 FINRA $278,544
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2009 FINRA $100,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2021 SD-SEC $20,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
AmTrust Financial Services Inc. AmTrust Financial Services financial services 2020 SEC $10,300,000
Flakeboard America Limited AntarChile diversified 2014 DOJ_ANTITRUST $4,950,000
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
ADT Inc. Apollo Global Management private equity (including portfolio companies) 2018 SEC $100,000
Alfred C. Toepfer International, Inc. Archer Daniels Midland agribusiness 2015 CFTC $400,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2013 CFTC $425,000
ADM Investor Services, Inc. Archer Daniels Midland agribusiness 2009 CFTC $200,000
ADM Investor Services Inc. Archer Daniels Midland agribusiness 2019 CFTC $250,000
Ares Management LLC Ares Management private equity (including portfolio companies) 2020 SEC $1,000,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
Cadaret, Grant & Co. Inc. Atria Wealth Solutions financial services 2018 SEC $513,194
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
CUSO Financial Services, L.P. Atria Wealth Solutions financial services 2019 SEC $296,750
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
Next Financial Group, Inc. Atria Wealth Solutions financial services 2012 AL-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 MA-SEC $150,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2010 MT-SEC $5,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2014 NH-BSR $140,000
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2019 NH-BSR $325,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 TX-SEC $600,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2015 VA-SEC $18,000
NEXT FINANCIAL GROUP, INC. Atria Wealth Solutions financial services 2017 VA-SEC $60,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 VA-SEC $5,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2011 FINRA $2,050,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2009 FINRA $1,000,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
AXA Rosenberg AXA financial services 2011 SEC $242,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 SEC $7,000,000
Banco Espirito Santo S.A. Banco Espirito Santo financial services 2011 NY-AG $975,000
Banco Espirito Santo, S.A. Banco Espirito Santo financial services 2011 NJ-AG $1,900,000
Santander Securities LLC Banco Santander financial services 2019 SEC $270,539
Santander Consumer USA Holdings Inc. Banco Santander financial services 2018 SEC $1,500,000
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
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.