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
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
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2004 SEC $350,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2018 SEC $2,800,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2018 SEC $500,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2009 MULTI-AG $456,000,000
TD Ameritrade, Inc. Charles Schwab Corp. financial services 2015 MA-AG $160,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
TD Ameritrade Inc. Charles Schwab Corp. financial services 2015 TX-SEC $400,000
Scottrade Inc. Charles Schwab Corp. financial services 2016 TX-SEC $100,000
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $2,600,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2015 FINRA $2,000,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $300,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
Charles Schwab & Company Charles Schwab Corp. financial services 2013 FINRA $500,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services 2011 FINRA $18,000,000
Scottrade, Inc. Charles Schwab Corp. financial services 2010 FINRA $200,000
Scottrade, Inc. Charles Schwab Corp. financial services 2005 FINRA $250,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services 2004 FINRA $70,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services 2004 FINRA $60,869
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
CHS Inc. CHS Inc. agribusiness 2016 CFTC $1,000,000
CHS, Inc. CHS Inc. agribusiness 2019 CFTC $500,000
Citigroup Global Markets Citigroup financial services 2015 SEC $15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLC Citigroup financial services 2015 SEC $180,000,000
Citigroup Citigroup financial services 2012 CFTC $525,000
Citigroup Global Markets Inc. Citigroup financial services 2015 SEC $500,000
LavaFlow Inc. Citigroup financial services 2014 SEC $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 SEC $1,500,000
Citigroup, Inc. Citigroup financial services 2005 SEC $208,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 SEC $20,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup financial services 2003 SEC $400,000,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
Citigroup Global Markets Citigroup financial services 2017 SEC $2,963,735
Citigroup Global Markets Citigroup financial services 2017 SEC $18,300,000
Citibank N.A. Citigroup financial services 2018 SEC $38,700,000
Citigroup Global Markets Inc. Citigroup financial services 2018 SEC $12,937,475
Citigroup Global Markets, Inc. Citigroup financial services 2007 SEC $200,000
Citigroup Global Markets Inc. Citigroup financial services 2009 DE-AG $309,000
Citigroup Global Markets Inc. Citigroup financial services 2009 NJ-AG $3,300,932
Citigroup Global Markets, Inc. and Citi Smith Barney Citigroup financial services 2008 MULTI-AG $7,100,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2017 NY-AG $23,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 AK-DBS $150,507
Citigroup Global Markets, Inc. Citigroup financial services 2015 AK-DBS $35,000
Citigroup Global Markets Inc. Citigroup financial services 2015 CT-SEC $35,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 IN-SEC $692,000
Citigroup Global Markets Inc. Citigroup financial services 2012 MA-SEC $2,000,000
Citigroup Global Markets Inc. Citigroup financial services 2013 MA-SEC $30,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 MO-SEC $277,500
Citigroup Global Markets Inc. Citigroup financial services 2015 NH-BSR $35,000
Citigroup Global Markets Inc. Citigroup financial services 2010 TX-SEC $130,000
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
Citigroup Global Markets Inc. Citigroup financial services 2014 VA-SEC $9,500
Citigroup Global Markets Inc. Citigroup financial services 2010 MULTI-FIN (*) $100,000,000
Citigroup Global Markets Inc. Citigroup financial services 2003 MULTI-FIN (*) $150,000,000
Citigroup Global Markets Inc. Citigroup financial services 2015 MULTI-FIN $1,965,000
Citibank N.A. Citigroup financial services 2020 CFTC $4,500,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $280,000
Citigroup Global Markets Inc. Citigroup financial services 2019 FINRA $1,250,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $11,500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2014 FINRA $15,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $2,488,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
Citigroup Citigroup financial services 2012 FINRA $1,279,106
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $3,500,000
Citigroup Global Markets, Inc Citigroup financial services 2012 FINRA $2,741,489
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $725,000
Citigroup Global Markets, Inc. Citigroup financial services 2011 FINRA $500,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 FINRA $650,000
Citigroup Global Markets Inc. Citigroup financial services 2009 FINRA $600,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $425,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $2,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2008 FINRA $300,000
Citigroup Global Markets, Inc. Citigroup financial services 2007 FINRA $15,200,000
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 FINRA $350,000
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.