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
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd. Johnson Controls automotive parts 2009 MI-AG $24,500,000
Tyco International Ltd. Johnson Controls automotive parts 2002 NH-BSR $5,100,000
Edward D. Jones & Co. LP Jones Financial financial services 2015 SEC $20,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2004 SEC $75,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 SEC $100,000
Edward Jones & Co. Jones Financial financial services 2008 CA-AG $7,500,000
Edward D. Jones and Co.,LP Jones Financial financial services 2003 AK-DBS $11,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2011 IN-SEC $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2010 ME-SEC $10,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2010 MO-SEC $40,500
Edward Jones Jones Financial financial services 2010 MT-SEC $100,000
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
Edward Jones & Co. LP Jones Financial financial services 2014 NH-BSR $750,000
Edward D. Jones & Co. LP Jones Financial financial services 2016 PA-BKG $135,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 FINRA $13,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2009 FINRA $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2005 FINRA $300,000
Edward Jones & Co., LP Jones Financial financial services 2004 FINRA $300,000
Edward Jones Jones Financial financial services 2004 FINRA $25,181
Jones Lang LaSalle Incorporated Jones Lang LaSalle real estate 2014 SEC $150,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2015 SEC $267,000,000
JPMorgan Chase JPMorgan Chase financial services 2013 CFTC $100,000,000
JPMorgan Chase Bank JPMorgan Chase financial services 2012 CFTC $600,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2012 CFTC $140,000
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
J.P. Morgan Securities LLC JPMorgan Chase financial services 2015 SEC $500,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 SEC $54,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $25,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
Bear Stearns JPMorgan Chase financial services 2012 MI-AG $275,000,000
Bear Stearns & Co. LLC JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 DE-AG $51,400
J.P. Morgan Securities LLC JPMorgan Chase financial services 2010 FL-AG $25,000,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 NJ-AG $50,460
JP Morgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-AG $3,525,000,000
JPMorgan Chase JPMorgan Chase financial services 2015 MULTI-AG $150,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 AK-DBS $51,120
J.P. Morgan Securities LLC JPMorgan Chase financial services 2014 CT-SEC $53,800
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2005 IL-SEC $10,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2016 IN-SEC $905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 IN-SEC $950,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 KY-FIN $325,000
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2017 MD-SEC $100,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 MULTI-FIN $2,800,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Company JPMorgan Chase financial services 2020 CFTC $920,200,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $35,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $1,100,000
J.P. Morgan Securities JPMorgan Chase financial services 2017 FINRA $2,800,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2017 FINRA $1,250,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
JP Morgan Securities LLC JPMorgan Chase financial services 2014 FINRA $5,000,000
JP Morgan JPMorgan Chase financial services 2012 FINRA $623,376
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2008 FINRA $150,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2007 FINRA $500,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $290,262
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $160,000
Chase Investment Services Corp. JPMorgan Chase financial services 2005 FINRA $60,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $150,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Banc One Securities Corporation JPMorgan Chase financial services 2005 FINRA $400,000
Chase Investment Services Corp. JPMorgan Chase financial services 2004 FINRA $250,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $4,950,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $280,469
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2003 FINRA $6,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Chase Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services 2000 FINRA $200,000
KBR, Inc. KBR construction and engineering 2015 SEC $130,000
Kemper Distributors, Inc. Kemper financial services 2000 FINRA $100,000
Keybanc Capital Markets Inc. KeyCorp financial services 2016 SEC $440,000
KeyBanc Capital Markets, Inc. KeyCorp financial services 2009 FINRA $425,000
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
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.