Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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
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
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
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.