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
UBS Financial Services, Inc UBS financial services 2013 MULTI-AG $4,580,000
UBS Financial Services, Inc. UBS financial services 2013 DE-AG $70,077
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
UBS Securities LLC and UBS Financial Services, Inc UBS financial services 2011 NJ-AG $3,790,487
UBS Securities LLC and UBS Financial Services, Inc. UBS financial services 2008 MULTI-AG $11,150,000,000
UBS Warburg LLC UBS financial services 2002 MULTI-AG (*) $80,000,000
UBS Securities LLC UBS financial services 2010 AK-DBS $733,465
UBS Financial Services, Inc. UBS financial services 2013 AK-DBS $64,661
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
UBS Financial Services, Inc. UBS financial services 2009 MO-SEC $170,175
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
UBS Financial Services Inc. UBS financial services 2012 NH-BSR $72,500
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2010 VA-SEC $625,000
UBS Financial Services Inc. UBS financial services 2019 VA-SEC $288,970
UBS Financial Services Inc. UBS financial services 2014 VT-FIN $325,000
UBS Financial Services Inc. UBS financial services 2013 MULTI-FIN $4,600,000
UBS Securities LLC and UBS Financial Services Inc. UBS financial services 2008 MULTI-FIN (*) $150,000,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
UBS Financial Services Inc. UBS financial services 2020 SEC $10,000,000
UBS Financial Services Inc. UBS financial services 2019 FINRA $2,000,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services 2015 FINRA $18,500,000
UBS Financial Services UBS financial services 2012 FINRA $2,354,584
UBS Securities LLC UBS financial services 2011 FINRA $12,000,000
UBS Financial Services, Inc. UBS financial services 2011 FINRA $10,750,000
UBS Securities UBS financial services 2009 FINRA $268,000
UBS Financial Services, Inc. UBS financial services 2009 FINRA $100,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
UBS Financial Services, Inc. UBS financial services 2007 FINRA $370,000
UBS International Inc. UBS financial services 2005 FINRA $10,000
UBS Securities, L.L.C. UBS financial services 2004 FINRA $10,000
UBS Financial Services Inc. UBS financial services 2004 FINRA $200,666
UBS Financial Services Inc. UBS financial services 2021 SEC $8,112,174
UMB Bank N.A. Investment Banking Division UMB Financial Corp. financial services 2015 SEC $420,000
Under Armour Inc. Under Armour apparel 2021 SEC $9,000,000
Universal Electronics Inc. Universal Electronics Inc. electrical and electronic equipment 2014 SEC $75,000
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Vereit, Inc. Vereit Inc. real estate 2020 SEC $8,000,000
Mylan N.V. Viatris pharmaceuticals 2019 SEC $30,000,000
Knight Securities, L.P. Virtu Financial financial services 2004 SEC $66,500,000
KCG Americas LLC Virtu Financial financial services 2015 SEC $1,055,197
Knight Capital Americas LLC Virtu Financial financial services 2013 SEC $12,000,000
Knight Financial Products, LLC Virtu Financial financial services 2009 SEC $2,040,000
Knight Securities, L.P. Virtu Financial financial services 2002 SEC $75,000
Virtu Americas LLC Virtu Financial financial services 2019 SEC $1,500,000
Knight Securities, L.P. Virtu Financial financial services 2004 FINRA $12,500,000
Knight Securities L.P. Virtu Financial financial services 2002 FINRA $1,500,000
Vitol Inc. and Vitol Capital Management Ltd. Vitol financial services 2010 CFTC $6,000,000
Noble Americas Corp. Vitol financial services 2010 CFTC $130,000
Navistar International Corp. Volkswagen motor vehicles 2016 SEC $7,500,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
ING Voya Financial financial services 2006 MULTI-AG $33,000,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
ING Financial Partners, Inc. Voya Financial financial services 2008 IL-SEC $4,677,326
ING Financial Partners, Inc. Voya Financial financial services 2012 MN-FIN $5,000
ING Life Insurance and Annuity Company Voya Financial financial services 2006 NH-BSR $3,000,000
Voya Financial Advisors, Inc. Voya Financial financial services 2020 SEC $22,919,155
VOYA Financial Advisors Inc. Voya Financial financial services 2016 FINRA $4,550,000
ING Groep N.V. Voya Financial financial services 2013 FINRA $1,200,000
ING America Insurance Holdings Inc. Voya Financial financial services 2006 FINRA $7,000,000
ING Funds Distributor Voya Financial financial services 2005 FINRA $1,500,000
ING Financial Partners, Inc. Voya Financial financial services 2004 FINRA $200,000
Energetics, Inc. VSE Corp. freight and logistics 2011 AZ-SEC $250,000
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Waste Management, Inc. Waste Management Inc. waste management and environmental services 2001 CT-AG $457,000,000
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
Wedbush Securities Inc. Wedbush Securities financial services 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Wedbush Securities Inc. Wedbush Securities financial services 2018 FINRA $1,500,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 FINRA $675,000
Wells Fargo Advisors LLC Wells Fargo financial services 2014 SEC $5,000,000
Evergreen Investment Management Company LLC Wells Fargo financial services 2009 SEC $40,000,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2007 SEC $3,860,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Strong Capital Management, Inc. Wells Fargo financial services 2004 SEC $80,000,000
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Prudential Securities, Inc. Wells Fargo financial services 2003 SEC $382,000
Prudential Securities Incorporated Wells Fargo financial services 2000 SEC $5,880,000
Wells Fargo Bank N.A. Municipal Products Group Wells Fargo financial services 2016 SEC $440,000
Wells Fargo Advisors LLC Wells Fargo financial services 2018 SEC $5,108,441
Strong Capital Management, Inc. Wells Fargo financial services 2006 SEC $2,185,927
Norwest Investment Services, Inc. Wells Fargo financial services 2002 SEC $153,245
Prudential Securities Incorporated Wells Fargo financial services 2001 SEC $800,000
First Union Securities, Inc. Wells Fargo financial services 2000 SEC $408,931
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2008 NJ-AG $387,000
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.