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
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2003 SEC $450,000
Goldman Sachs Goldman Sachs financial services 2002 MULTI-AG (*) $110,000,000
Goldman Sachs Group, Inc. Goldman Sachs financial services 2008 MULTI-AG $3,355,833,333
Goldman, Sachs & Co. Goldman Sachs financial services 2011 NJ-AG $959,794
Goldman Sachs & Co. LLC Goldman Sachs financial services 2019 CFTC $1,000,000
Goldman Sachs Goldman Sachs financial services 2015 NY-DFS $50,000,000
Goldman Sachs Goldman Sachs financial services 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2003 MULTI-FIN (*) $25,000,000
Goldman Sachs Group Goldman Sachs financial services 2020 NY-DFS $150,000,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2015 FINRA $1,800,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $5,000,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2014 FINRA $800,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $1,000,000
Goldman Sachs Goldman Sachs financial services 2012 FINRA $683,997
Goldman, Sachs & Co. Goldman Sachs financial services 2012 FINRA (*) $11,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2010 FINRA $650,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $140,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $125,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2004 FINRA $75,000
Goldman, Sachs & Co. Goldman Sachs financial services 2004 FINRA $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2002 FINRA (*) $1,650,000
Spear, Leeds & Kellogg Goldman Sachs financial services 2001 FINRA $10,000
Graybar Electric Company, Inc. Graybar Electric wholesalers 2006 CA-DFPI $45,000
Guggenheim Partners Investment Management LLC Guggenheim Partners financial services 2015 SEC $20,000,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2010 FINRA $200,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2004 FINRA $825,000
Hartford Financial Services Group, Inc. Hartford Financial Services financial services 2006 SEC $55,000,000
The Hartford Financial Services Group Hartford Financial Services financial services 2006 MULTI-AG $20,000,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Heraeus Metals New York LLC Heraeus diversified 2019 CFTC $130,000
Hertz Global Holdings, Inc. Hertz miscellaneous services 2018 SEC $16,000,000
Southwest Securities, Inc. Hilltop Holdings financial services 2005 SEC $10,000,000
Hilltop Securities Inc. Hilltop Holdings financial services 2016 SEC $360,000
Southwest Securities, Inc. Hilltop Holdings financial services 2010 SEC $470,147
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc. Hilltop Holdings financial services 2019 SEC $810,785
Southwest Securities, Inc. Hilltop Holdings financial services 2012 IL-SEC $7,500
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $500,000
Southwest Securities, Inc. Hilltop Holdings financial services 2004 FINRA $36,971
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
Hilltop Securities Inc. Hilltop Holdings financial services 2021 SEC $340,193
HSBC Private Bank (Suisse) HSBC financial services 2014 SEC $12,500,000
Republic New York Securities Corporation HSBC financial services 2001 CFTC $5,000,000
HSBC Bank USA, N.A. HSBC financial services 2007 SEC $10,500,000
HSBC Securities (USA) Inc. HSBC financial services 2018 CFTC $1,600,000
HSBC Bank USA, N.A. HSBC financial services 2019 CFTC $650,000
HSBC Securities (USA) Inc. HSBC financial services 2020 SEC $725,000
HSBC Securities (USA) Inc. HSBC financial services 2010 FINRA $375,000
HSBC Securities (USA) HSBC financial services 2010 FINRA $1,500,000
HSBC Brokerage HSBC financial services 2007 FINRA $250,000
Hunter Wise Hunter Wise Commodities financial services 2014 CFTC $108,000,000
Hutchinson, Shockey, Erley & Co. Huntington Bancshares financial services 2015 SEC $220,000
AAMCO TRANSMISSIONS, INC. Icahn Enterprises diversified 2013 VA-SEC $10,000
Iconix Brand Group Iconix Brand Group apparel 2007 DOJ_ANTITRUST $550,000
ICBC Standard Bank Plc Industrial and Commercial Bank of China financial services 2015 SEC $4,200,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $1,250,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2018 SEC $860,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services 2019 SEC $42,700,000
Interactive Brokers LLC Interactive Brokers Group financial services 2014 SEC $56,000
Interactive Brokers LLC Interactive Brokers Group financial services 2013 CFTC $225,000
Interactive Brokers LLC Interactive Brokers Group financial services 2012 CFTC $700,000
Interactive Brokers LLC Interactive Brokers Group financial services 2007 CFTC $175,000
Interactive Brokers, LLC Interactive Brokers Group financial services 2019 NJ-AG $100,000
Interactive Brokers, LLC Interactive Brokers Group financial services 2013 AR-SEC $6,000
Interactive Brokers LLC Interactive Brokers Group financial services 2020 SEC $11,500,000
Interactive Brokers LLC Interactive Brokers Group financial services 2018 FINRA $5,500,000
Interactive Brokers LLC Interactive Brokers Group financial services 2017 FINRA $450,000
Interactive Brokers, L.L.C. Interactive Brokers Group financial services 2002 FINRA $230,000
New York Stock Exchange IntercontinentalExchange Group financial services 2014 SEC $4,500,000
New York Stock Exchange IntercontinentalExchange Group financial services 2012 SEC $5,000,000
ICE Futures U.S. Inc. IntercontinentalExchange Group financial services 2015 CFTC $3,000,000
New York Stock Exchange, Inc. IntercontinentalExchange Group financial services 2005 SEC $20,000,000
New York Stock Exchange IntercontinentalExchange Group financial services 2018 SEC $14,000,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
OppenheimerFunds Inc. Invesco financial services 2012 SEC $35,000,000
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
WL Ross & Co. LLC Invesco financial services 2016 SEC $2,300,000
AIM Advisors Invesco financial services 2004 MULTI-AG (*) $125,000,000
Invesco Funds Group Invesco financial services 2004 MULTI-AG (*) $325,000,000
OppenheimerFunds Invesco financial services 2010 NM-AG $67,300,000
OppenheimerFunds Inc. Invesco financial services 2009 OR-AG $20,000,000
OppenheimerFunds, Inc. Invesco financial services 2009 IL-AG $77,230,000
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 WA-FIN $669,500
Janus Capital Management LLC Janus Henderson financial services 2004 SEC $100,000,000
Janus Capital Management Janus Henderson financial services 2004 MULTI-AG $225,000,000
Leucadia National Corporation Jefferies Financial Group diversified 2015 DOJ_ANTITRUST $240,000
Jefferies LLC Jefferies Financial Group diversified 2014 SEC $25,000,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2015 CFTC $843,922
Forex Capital Markets LLC Jefferies Financial Group diversified 2011 CFTC $14,200,000
Forex Capital Markets Ltd. Jefferies Financial Group diversified 2011 CFTC $140,000
Forex Capital Markets, LLC Jefferies Financial Group diversified 2017 CFTC $7,000,000
Jefferies LLC Jefferies Financial Group diversified 2016 SEC $500,000
Jefferies LLC Jefferies Financial Group diversified 2019 SEC $3,918,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 CT-SEC $14,450
Jefferies & Company, Inc. Jefferies Financial Group diversified 2011 FINRA $1,925,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
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.