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
Marsh and McLennan Marsh & McLennan financial services 2009 MULTI-AG $400,000,000
Marubeni America Corporation Marubeni diversified 2015 CFTC $800,000
Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance financial services 2012 SEC $1,625,000
MML Investors Services LLC Massachusetts Mutual Life Insurance financial services 2015 PA-BKG $100,000
MML Investors Services LLC Massachusetts Mutual Life Insurance financial services 2012 RI-FIN $250,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services 2007 FINRA $473,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services 2004 FINRA $250,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 MA-SEC $4,000,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 SEC $2,109,458
MBIA, Inc. MBIA financial services 2007 NY-AG $25,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
General American Life Insurance Company MetLife financial services 2007 SEC $3,300,000
Metropolitan Life Insurance Company MetLife financial services 2006 SEC $250,000
New England Securities Corp. MetLife financial services 2006 SEC $2,614,865
MetLife, Inc. MetLife financial services 2019 SEC $10,000,000
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
MetLife Securities, Inc. MetLife financial services 2010 IL-SEC $135,000
MetLife, Inc. MetLife financial services 2018 MA-SEC $1,000,000
MetLife Securities, Inc. MetLife financial services 2006 MS-SEC $50,000
Metlife Investors USA Insurance Co MetLife financial services 2012 MT-SEC $5,000
MetLife Securities MetLife financial services 2005 OR-FIN $12,000
MetLife Securities, Inc. MetLife financial services 2016 FINRA $25,000,000
MetLife Securities, Inc. MetLife financial services 2015 FINRA $649,748
MetLife Securities, Inc. MetLife financial services 2009 FINRA $1,200,000
New England Securities MetLife financial services 2009 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
Metropolitan Life Insurance Co. MetLife financial services 2004 FINRA $375,000
New England Securities MetLife financial services 2004 FINRA $200,000
MF Global Holdings Ltd. MF Global financial services 2014 CFTC $1,312,000,000
MF Global Inc. MF Global financial services 2009 CFTC $10,000,000
MF Global Inc. MF Global financial services 2007 CFTC $2,000,000
Bank of Tokyo-Mitsubishi UFJ, Ltd. Mitsubishi Group diversified 2017 CFTC $600,000
Mitsubishi UFJ Securities (USA), Inc. Mitsubishi Group diversified 2016 SEC $20,000
MUFG Securities Americas Inc. Mitsubishi Group diversified 2018 SEC $1,400,000
Mitsubishi Corporation RtM Japan Ltd. Mitsubishi Group diversified 2019 CFTC $500,000
Mitsubishi International Corporation Mitsubishi Group diversified 2019 CFTC $400,000
Mizuho Financial Group Mizuho Financial financial services 2012 SEC $127,500,000
Mizuho Securities USA LLC Mizuho Financial financial services 2018 SEC $1,250,000
Mizuho Bank, Ltd. Mizuho Financial financial services 2018 CFTC $250,000
Monomoy Capital Management, L.P. Monomoy Capital Partners private equity (including portfolio companies) 2020 SEC $1,926,579
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $1,250,000
Moody's Investors Service, Inc. Moody's information technology 2018 SEC $15,000,000
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
Morgan Stanley Morgan Stanley financial services 2015 CFTC $300,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $280,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley financial services 2014 CFTC $200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 CFTC $200,000
Morgan Stanley Morgan Stanley financial services 2012 CFTC $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 SEC $500,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 SEC $50,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2003 SEC $125,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2000 SEC $2,500,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2000 SEC $45,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2016 SEC $7,500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $13,000,000
E*TRADE Securities LLC Morgan Stanley financial services 2017 CFTC $280,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $2,963,735
Morgan Stanley Smith Barney Morgan Stanley financial services 2017 SEC $8,000,000
Morgan Stanley Morgan Stanley financial services 2017 CFTC $500,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2018 SEC $3,600,000
E*Trade Clearing LLC Morgan Stanley financial services 2008 SEC $500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $17,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2002 SEC $500,000
Dean Witter Reynolds Inc. Morgan Stanley financial services 2000 SEC $476,702
Morgan Stanley Morgan Stanley financial services 2008 MULTI-AG $3,535,000,000
Morgan Stanley Morgan Stanley financial services 2002 MULTI-AG (*) $125,000,000
Morgan Stanley Morgan Stanley financial services 2019 CA-AG $150,000,000
Morgan Stanley Morgan Stanley financial services 2011 NJ-AG $1,560,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2013 NJ-AG $100,000
Morgan Stanley DW Morgan Stanley financial services 2005 DE-AG $700,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 MULTI-AG (*) $400,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $5,000,000
Smith Barney Morgan Stanley financial services 2007 NJ-AG $978,000
Morgan Stanley Capital Group Inc. Morgan Stanley financial services 2019 CFTC $1,500,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 SEC $1,545,758
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2019 SEC $225,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 NY-AG $1,040,964
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2020 SEC $5,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DFPI $52,047
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 CT-SEC $5,000,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 ID-SEC $415,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2012 IN-SEC $210,000
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
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.