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
Citigroup Global Markets, Inc. Citigroup financial services 2006 FINRA $350,000
Citigroup Global Markets Inc. Citigroup financial services 2005 FINRA $60,000
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $275,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Citigroup Global Markets Inc. Citigroup financial services 2004 FINRA $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
KMG Chemicals, Inc. CMC Materials miscellaneous manufacturing 2014 SEC $150,000
ICAP plc CME Group financial services 2009 SEC $25,000,000
Conseco, Inc. CNO Financial financial services 2004 SEC $15,000,000
Conseco, Inc. CNO Financial financial services 2004 NY-AG (*) $15,000,000
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
Bankers Life and Casualty Co. CNO Financial financial services 2015 MO-SEC $102,178
Bankers Life and Casualty Company and BLC Financial Services, Inc. CNO Financial financial services 2012 MULTI-FIN $10,641,000
Comerica Securities, Inc. Comerica financial services 2015 SEC $60,000
Comerica Securities, Inc. Comerica financial services 2019 SEC $186,377
Comerica Securities Comerica financial services 2015 FINRA $347,757
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
Commerzbank AG Commerzbank financial services 2018 CFTC $12,000,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Omega Protein Corporation Cooke Inc. food products 2019 SEC $400,000
ConvergEx Group Cowen Inc. financial services 2013 SEC $107,424,429
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
SG Cowen, LLC Cowen Inc. financial services 2004 FINRA $800,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2005 CFTC $85,000
Credit Lyonnais Rouse Limited Credit Agricole financial services 2004 CFTC $25,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2016 SEC $54,300,000
Credit Suisse Group AG Credit Suisse financial services 2014 SEC $196,000,000
Credit Suisse Credit Suisse financial services 2016 CFTC $665,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 SEC $200,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 SEC $100,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2017 SEC $5,754,714
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLC Credit Suisse financial services 2011 SEC $2,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 SEC $5,000,000
Credit Suisse First Boston, LLC Credit Suisse financial services 2005 SEC $200,000
Donaldson, Lufkin & Jenrette Securities Corp. Credit Suisse financial services 2004 SEC $1,000,000
Credit Suisse First Boston Corp. Credit Suisse financial services 2002 MULTI-AG (*) $200,000,000
Credit Suisse Securities Credit Suisse financial services 2016 NY-AG $30,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 NJ-AG $1,057,996
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2018 NY-AG (*) $10,000,000
Credit Suisse First Boston LLC Credit Suisse financial services 2003 MULTI-FIN (*) $75,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2008 MULTI-FIN $15,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2020 SEC $600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2019 FINRA $6,500,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2014 FINRA $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $1,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $4,500,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2009 FINRA $275,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2006 FINRA $225,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services 2004 FINRA $50,000
Credit Suisse First Boston LLC Credit Suisse financial services 2004 FINRA $770,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 FINRA (*) $50,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2001 FINRA $25,000
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
Credit Suisse Credit Suisse financial services 2021 CFTC $1,500,000
CUNA Brokerage Services Inc. CUNA Mutual financial services 2014 OK-SEC $15,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2001 FINRA $100,000
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
ProEquities, Inc. Dai-ichi Life financial services 2019 SEC $1,852,383
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
ProEquities, Inc. Dai-ichi Life financial services 2010 IN-SEC $9,000
ProEquities, Inc. Dai-ichi Life financial services 2015 MO-SEC $128,528
ProEquities, Inc Dai-ichi Life financial services 2012 MULTI-FIN $435,000
ProEquities, Inc. Dai-ichi Life financial services 2009 FINRA $25,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Deloitte & Touche Deloitte business services 2012 MI-AG $19,900,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Deutsche Bank AG Deutsche Bank financial services 2015 SEC $55,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2004 SEC $87,500,000
Deutsche Asset Management, Inc. Deutsche Bank financial services 2003 SEC $750,000
Deutsche Bank Securities Deutsche Bank financial services 2016 SEC $9,500,000
Deutsche Bank Deutsche Bank financial services 2016 SEC $18,500,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $4,450,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 SEC $73,200,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2007 SEC $750,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2006 SEC $442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc. Deutsche Bank financial services 2006 SEC $17,200,000
Deutsche Investment Management Americas, Inc. et al. Deutsche Bank financial services 2006 SEC $19,329,729
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
Deutsche Bank Deutsche Bank financial services 2002 MULTI-AG $80,000,000
Deutsche Bank AG Deutsche Bank financial services 2006 NY-AG (*) $208,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2009 NJ-AG $1,057,350
Deutsche Bank Securities, Inc. and Deutsche Bank AG Deutsche Bank financial services 2008 MULTI-AG $3,348,333,333
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2016 NY-AG (*) $37,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2013 MA-SEC $17,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2008 MULTI-FIN (*) $15,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
Deutsche Bank AG Deutsche Bank financial services 2020 CFTC $9,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2020 CFTC $1,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2017 FINRA $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $3,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $12,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $6,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2015 FINRA $1,400,000
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.