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 Parent Parent Major Industrysort icon Year Agency Penalty Amount
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2001 FINRA $225,000
Prudential Securities, Inc. Wells Fargo financial services 2001 FINRA $10,000
First Union Brokerage Services, Inc. Wells Fargo financial services 2001 FINRA $32,500
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2000 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2000 FINRA $97,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
John Nuveen & Co., Inc. TIAA financial services 2000 FINRA $6,630,000
First Union Securities, Inc. Wells Fargo financial services 2000 FINRA $350,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services 2000 FINRA $200,000
Kemper Distributors, Inc. Kemper financial services 2000 FINRA $100,000
E-TRADE Securities, Inc. Morgan Stanley financial services 2000 FINRA $20,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2000 FINRA $5,890,000
Raymond James & Associates Inc. Raymond James Financial financial services 2000 FINRA $3,410,000
CS First Boston Corp. Credit Suisse financial services 2000 FINRA $1,240,000
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
Southwest Securities Inc. Hilltop Holdings financial services 2000 FINRA $500,000
Prudential Securities, Inc. Wells Fargo financial services 2000 FINRA $100,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2000 FINRA $495,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-SEC $250,000
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2021 SD-SEC $20,000
Credit Suisse Credit Suisse financial services 2021 CFTC $1,500,000
Robinhood Financial LLC Robinhood Markets financial services 2021 FINRA $69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2021 FINRA $11,650,000
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 MA-SEC $4,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2021 SEC $863,326
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2021 SEC $389,425
MML Investors Services, LLC Massachusetts Mutual Life Insurance financial services 2021 SEC $2,109,458
UBS Financial Services Inc. UBS financial services 2021 SEC $8,112,174
Hilltop Securities Inc. Hilltop Holdings financial services 2021 SEC $340,193
Smithfield Foods Inc WH Group food products 2010 DOJ_ANTITRUST $900,000
ConAgra Trade Group, Inc. ConAgra Brands food products 2010 CFTC $12,000,000
Dairy Farmers of America, Inc. Dairy Farmers of America (DFA) food products 2008 CFTC $12,000,000
Barry Callebaut Sourcing AG Barry Callebaut food products 2004 CFTC $25,000
Smithfield Foods Inc. WH Group food products 2004 DOJ_ANTITRUST $2,000,000
Davisco Foods International, Inc. Agropur food products 2017 CFTC $150,000
Omega Protein Corporation Cooke Inc. food products 2019 SEC $400,000
Bimbo Foods Bakeries Distribution, LLC Bimbo Group food products 2015 MD-SEC $50,000
Tyson Foods, Inc. Tyson Foods food products 2021 CFTC $1,500,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Health Net Inc. Centene healthcare services 2016 SEC $340,000
WellCare Health Plans, Inc. Centene healthcare services 2009 SEC $10,000,000
Tenet Healthcare Corporation Tenet Healthcare healthcare services 2007 SEC $10,000,000
WellCare Health Plans Inc. Centene healthcare services 2010 MULTI-AG $200,000,000
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
Nu Skin Enterprises, Inc. Nu Skin Enterprises household and personal care products 2016 SEC $765,688
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
Flowserve Corporation Flowserve industrial equipment 2005 SEC $350,000
UQM Technologies, Inc. Danfoss industrial equipment 2019 SEC $500,000
Belden Inc. Belden industrial equipment 2020 SEC $650,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
YourPeople, Inc., dba Zenefits FTW Insurance Services Your People Inc. dba Zenefits information technology 2017 SEC $450,000
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
Facebook Inc. Facebook information technology 2019 SEC $100,000,000
Standard and Poor's Financial Services LLC S&P Global information technology 2015 MULTI-AG $19,000,000
Bloomberg Tradebook LLC Bloomberg information technology 2020 SEC $5,000,000
Atos Ltd. Atos information technology 2017 MI-SEC $40,000
S&P Dow Jones Indices LLC S&P Global information technology 2021 SEC $9,000,000
Paycom Software, Inc. Paycom Software information technology 2021 SEC $250,000
Hearst Corporation Hearst media 2001 FTC $4,000,000
Hearst Corp. Hearst media 2001 DOJ_ANTITRUST $4,000,000
Dentsply Sirona Inc. Dentsply Sirona medical equipment and supplies 2020 SEC $1,000,000
Advanced Emissions Solutions, Inc. Advanced Emissions Solutions miscellaneous energy products and systems 2017 SEC $500,000
KMG Chemicals, Inc. CMC Materials miscellaneous manufacturing 2014 SEC $150,000
Hertz Global Holdings, Inc. Hertz miscellaneous services 2018 SEC $16,000,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
CRITTER CONTROL INC. Rollins Inc. miscellaneous services 2018 VA-SEC $23,500
Navistar International Corp. Volkswagen motor vehicles 2016 SEC $7,500,000
Ford Motor Credit Company Ford Motor motor vehicles 2005 SEC $700,000
Tesla Inc. Tesla Inc. motor vehicles 2018 SEC $20,000,000
Fiat Chrysler Automobiles N.V. Stellantis motor vehicles 2020 SEC $9,500,000
General Motors General Motors motor vehicles 2021 CA-AG $5,750,000
BP BP oil and gas 2012 SEC $525,000,000
Total Gas & Power North America, Inc. TotalEnergies SE oil and gas 2015 CFTC $3,600,000
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
Statoil ASA Equinor oil and gas 2017 CFTC $4,000,000
SandRidge Energy, Inc. SandRidge Energy oil and gas 2016 SEC $1,400,000
Statoil, ASA Equinor oil and gas 2006 SEC $10,500,000
AVEO Pharmaceuticals Inc. AVEO Pharmaceuticals pharmaceuticals 2016 SEC $4,000,000
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Allergan Inc. AbbVie pharmaceuticals 2017 SEC $15,000,000
Aegerion Pharmaceuticals Amryt Pharma pharmaceuticals 2017 SEC $4,100,000
Cytrx Corporation CytRx pharmaceuticals 2017 SEC $75,000
Clovis Oncology Inc. Clovis Oncology pharmaceuticals 2018 SEC $20,000,000
Valeant Pharmaceuticals International, Inc. Bausch Health pharmaceuticals 2017 MULTI-AG $145,000,000
Mylan N.V. Viatris pharmaceuticals 2019 SEC $30,000,000
Sunoco LP Energy Transfer pipelines 2020 CFTC $450,000
Blackstone Group Blackstone private equity (including portfolio companies) 2015 SEC $39,000,000
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
BlueLinx Holdings Inc. Cerberus Capital Management private equity (including portfolio companies) 2016 SEC $265,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
Presstek Inc. American Industrial Partners private equity (including portfolio companies) 2010 SEC $400,000
Apollo Global Management Apollo Global Management private equity (including portfolio companies) 2016 SEC $52,700,000
Calpine Energy Services, L.P. Energy Capital Partners private equity (including portfolio companies) 2004 CFTC $1,500,000
Oaktree Capital Management, LLC Oaktree Capital Management private equity (including portfolio companies) 2005 SEC $345,701
TPG Capital TPG Capital private equity (including portfolio companies) 2001 SEC $50,000
NeuStar Inc Golden Gate Capital private equity (including portfolio companies) 2016 SEC $180,000
TPG Capital Advisors, LLC TPG Capital private equity (including portfolio companies) 2017 SEC $12,487,620
Platinum Equity Advisors, LLC Platinum Equity private equity (including portfolio companies) 2017 SEC $3,402,132
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.