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
Goldman, Sachs & Co. Goldman Sachs financial services 2005 SEC $40,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc. Franklin Resources financial services 2004 SEC $20,000,000
American International Group, Inc. American International Group financial services 2004 SEC $46,000,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
AIM Advisors, Inc. and AIM Distributors, Inc. Invesco financial services 2004 SEC $50,000,000
Invesco Funds Group, Inc. Invesco financial services 2004 SEC $325,000,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 SEC $2,000,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $11,600,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLC Allianz financial services 2004 SEC $50,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Thomas Weisel Partners LLC Stifel Financial financial services 2004 SEC $12,500,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2004 SEC $125,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Fidelity Brokerage Services, LLC Fidelity Investments financial services 2004 SEC $1,000,000
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
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
Massachusetts Financial Services Company Sun Life Financial financial services 2004 SEC $50,000,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs financial services 2004 SEC $45,272,478
FleetBoston Financial Corporation Bank of America financial services 2004 SEC $140,000,000
Banc of America Securities LLC Bank of America financial services 2004 SEC $10,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 SEC $3,706,693
Legg Mason Wood Walker, Inc. Franklin Resources financial services 2004 SEC $2,315,467
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
UBS Financial Services Inc. UBS financial services 2004 SEC $4,621,768
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Massachusetts Financial Services Co. Sun Life Financial financial services 2004 SEC $225,000,000
Alliance Capital Management L.P. Equitable Holdings financial services 2003 SEC $250,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 SEC $50,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $25,000,000
Goldman Sachs Goldman Sachs financial services 2003 SEC $9,305,382
Massachusetts Financial Services Company Sun Life Financial financial services 2003 SEC $917,858
UBS PaineWebber, Inc. UBS financial services 2003 SEC $500,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Lehman Brothers, Inc. Lehman Brothers financial services 2003 SEC $2,500,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
Prudential Securities, Inc. Wells Fargo financial services 2003 SEC $382,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2003 SEC $110,000,000
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
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2003 SEC $200,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 SEC $32,500,000
UBS Warburg LLC UBS financial services 2003 SEC $80,000,000
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
Goldman, Sachs & Co. Goldman Sachs financial services 2000 SEC $5,200,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2000 SEC $5,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Merrill Lynch Bank of America financial services 2016 SEC $12,500,000
UBS Financial Services UBS financial services 2016 SEC $15,025,882
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Bank Leumi Bank Leumi financial services 2016 SEC $1,600,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
INTL FCStone Financial Inc. INTL FCStone financial services 2017 CFTC $280,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Merrill Lynch Bank of America financial services 2017 CFTC $2,500,000
SunTrust Banks Truist Financial financial services 2017 SEC $1,100,000
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
Bank of America Bank of America financial services 2017 USAO $2,500,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
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.