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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
BMO Capital Markets Corporation Bank of Montreal financial services 2019 SEC $3,946,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp. Bank of Montreal financial services 2019 SEC $37,980,000
BMO Capital Markets Corp. Bank of Montreal financial services 2019 SEC $1,950,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2015 SEC $120,000
BNY Mellon Bank of New York Mellon financial services 2017 SEC $6,600,000
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
The Bank Of New York Bank of New York Mellon financial services 2007 SEC $750,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 SEC $950,000
Bank of New York Mellon Bank of New York Mellon financial services 2018 SEC $54,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2013 FL-AG $28,000,000
Bank of New York Mellon Corp. Bank of New York Mellon financial services 2011 MULTI-AG $1,300,000
BNY Mellon Shareowner Services Bank of New York Mellon financial services 2010 MA-AG $30,000
Dreyfus Corporation Bank of New York Mellon financial services 2000 NY-AG $2,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2019 CFTC $750,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
Barclays Capital Inc. Barclays financial services 2014 SEC $15,000,000
Barclays Capital Inc. Barclays financial services 2016 CFTC $800,000
Barclays Bank PLC Barclays financial services 2016 CFTC $560,000
Barclays Capital Barclays financial services 2017 SEC $97,037,659
Barclays Capital Inc. Barclays financial services 2017 SEC $12,710,040
Barclays Capital Inc. Barclays financial services 2016 SEC $500,000
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Barclays Capital Inc. Barclays financial services 2016 FINRA $1,300,000
Barclays Capital, Inc. Barclays financial services 2015 FINRA $13,750,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $5,000,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Barclays Capital Inc. Barclays financial services 2011 FINRA $3,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
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
Belden Inc. Belden industrial equipment 2020 SEC $650,000
Berkshire Hathaway Inc. Berkshire Hathaway diversified 2014 DOJ_ANTITRUST $896,000
General Reinsurance Corporation Berkshire Hathaway diversified 2009 OH-AG $72,000,000
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 MO-SEC $230,469
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2011 MO-SEC $5,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2013 MO-SEC $80,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-SEC $20,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2006 ND-SEC $8,000
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 NE-DBF $5,000
Berthel Fisher & Company Financial Services, Inc Berthel Fisher financial services 2019 NH-BSR $415,407
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2014 FINRA $775,000
BGC Financial, L.P. BGC Partners financial services 2019 CFTC $3,000,000
BGC Financial, LP BGC Partners financial services 2019 CFTC $15,000,000
GFI Securities, LLC BGC Partners financial services 2019 CFTC $10,000,000
GFI Securities LLC BGC Partners financial services 2019 SEC $4,300,000
BGC Partners, Inc. BGC Partners financial services 2020 SEC $1,400,000
Biglari Holdings Inc. Biglari Holdings diversified 2012 DOJ_ANTITRUST $850,000
Biglari Capital LLC Biglari Holdings diversified 2018 SEC $75,000
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
BlackRock Advisors LLC BlackRock financial services 2015 SEC $12,000,000
BlackRock Institutional Trust Company NA BlackRock financial services 2012 CFTC $250,000
BlackRock Institutional Trust Company BlackRock financial services 2014 SEC $1,675,350
BlackRock Inc. BlackRock financial services 2017 SEC $340,000
Blackrock Fund Advisors BlackRock financial services 2017 SEC $1,500,000
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
Bluefire Renewables, Inc. BlueFire Renewables utilities and power generation 2016 SEC $25,000
BNP Paribas Securities BNP Paribas financial services 2015 CFTC $140,000
BNP Paribas Securities Corp. BNP Paribas financial services 2020 SEC $250,000
BOK Financial Corporation BOK Financial financial services 2016 SEC $1,667,720
Bok Financial Securities, Inc. BOK Financial financial services 2019 SEC $197,801
BP BP oil and gas 2012 SEC $525,000,000
Broadcom Corp. Broadcom electrical and electronic equipment 2008 SEC $12,000,000
Broadcom Corp. Broadcom electrical and electronic equipment 2009 NM-AG $160,500,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services 2014 SEC $120,000
Bunge Global Markets, Inc. Bunge agribusiness 2011 CFTC $550,000
Calpine Energy Services, L.P. Calpine utilities and power generation 2004 CFTC $1,500,000
Calumet Specialty Products Partners, L.P. Calumet Specialty Products chemicals 2019 SEC $250,000
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 SEC $125,000,000
CIBC World Markets Corporation Canadian Imperial Bank of Commerce financial services 2005 SEC $496,598
Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce financial services 2005 NY-AG (*) $125,000,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $350,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2005 FINRA $40,000
Canon Inc. Canon electrical and electronic equipment 2019 FTC $2,500,000
Cantor Fitzgerald Cantor Fitzgerald financial services 2012 CFTC $700,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2011 CFTC $100,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2018 SEC $1,250,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 SEC $647,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2020 SEC $3,200,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2019 FINRA $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2015 FINRA $7,300,000
Cargill de Mexico SA De CV Cargill agribusiness 2015 CFTC $500,000
Cargill Inc. Cargill agribusiness 2017 CFTC $10,000,000
Carlyle Group Carlyle Group private equity (including portfolio companies) 2009 NY-AG $20,000,000
Chicago Board Options Exchange CBOE Holdings financial services 2013 SEC $6,000,000
Health Net Inc. Centene healthcare services 2016 SEC $340,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
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
Charles Schwab & Co. Charles Schwab Corp. financial services 2014 SEC $61,800
TD Ameritrade Charles Schwab Corp. financial services 2014 SEC $100,800
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
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.