Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
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$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
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 Industry Year Agency Penalty Amountsort icon
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC   2005 SEC $36,200,488
Veras Capital Master Fund and VEY Partners Master Funds   2005 NY-AG (*) $36,200,488
IB Capital FX, LLC   2016 CFTC $35,420,000
State Street Bank and Trust Company State Street Corp. financial services 2017 SEC $35,300,000
Banca IMI Securities Corp. Intesa Sanpaolo financial services 2017 SEC $35,300,000
Barclays Capital Inc. Barclays financial services 2016 SEC $35,000,000
OppenheimerFunds Inc. Invesco financial services 2012 SEC $35,000,000
Royal Bank of Canada Royal Bank of Canada financial services 2014 CFTC $35,000,000
F-Squared Investments   2014 SEC $35,000,000
AmeriFirst Management LLC   2014 CFTC $35,000,000
Altaba Inc. Altaba diversified 2018 SEC $35,000,000
Barclays Capital Inc. Barclays financial services 2016 NY-AG $35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network Wells Fargo financial services 2020 SEC $35,000,000
International Investment Group, LLC   2020 SEC $35,000,000
Morgan Stanley Morgan Stanley financial services 2008 MULTI-FIN (*) $35,000,000
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Bank of America Corporation Bank of America financial services 2009 SEC $33,000,000
Robertson Stephens Inc. Bank of America financial services 2003 SEC $33,000,000
ING Voya Financial financial services 2006 MULTI-AG $33,000,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Evergreen Investment Management Company Wells Fargo financial services 2007 SEC $32,500,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 SEC $32,500,000
Lehman Brothers, Inc. Lehman Brothers financial services 2014 WA-AG $31,300,000
Executive Management Advisors L.L.C.   2015 CFTC $31,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2010 MULTI-AG $31,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2011 SEC $30,400,000
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
Ameriprise Financial, Inc. Ameriprise Financial financial services 2005 SEC $30,000,000
Deutsche Bank AG and Deutsche Bank Securities Inc. Deutsche Bank financial services 2018 CFTC $30,000,000
Credit Suisse Securities Credit Suisse financial services 2016 NY-AG $30,000,000
Riverstone Holdings LLC Riverstone Holdings private equity (including portfolio companies) 2009 NY-AG $30,000,000
RS Investment Management L.P.   2004 NY-AG (*) $30,000,000
Mylan N.V. Mylan pharmaceuticals 2019 SEC $30,000,000
Citigroup Global Markets Inc. Citigroup financial services 2013 MA-SEC $30,000,000
BitClave PTE Ltd   2020 SEC $29,744,197
CTI Group LLC and Cooper Trading   2014 CFTC $29,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2005 MULTI-FIN (*) $28,750,000
Pequot Capital Management, Inc.   2010 SEC $28,000,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Bank of New York Mellon Bank of New York Mellon financial services 2013 FL-AG $28,000,000
AZ Investment Property Experts, LLC and Sandy Beach Esmeralda Development, LLC   2019 AZ-SEC $27,801,783
Princeton Global Management Ltd. and Princeton Economics International Ltd.   2009 CFTC $27,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers   2004 SEC $27,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
UBS Financial Services Inc. of Puerto Rico UBS financial services 2012 SEC $26,600,000
Merrill Lynch Bank of America financial services 2010 MULTI-FIN $26,563,094
Stiefel Laboratories Inc.   2020 SEC $26,510,000
Nomura Securities International Inc. Nomura financial services 2019 SEC $26,400,000
PaineWebber Incorporated UBS financial services 2000 SEC $26,200,000
Success Trade, Inc. and Success Trade Securities, Inc.   2015 SEC $26,158,214
North Hills Management LLC   2015 CFTC $26,000,000
Prestige Ventures Corporation and Federated Management Group, Inc.   2010 CFTC $26,000,000
LPL Financial LLC LPL Financial financial services 2018 MULTI-FIN $26,000,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2012 IL-SEC $25,930,000
LPL Financial LLC LPL Financial financial services 2019 MULTI-AG $25,848,000
CRE Capital Corp.   2010 CFTC $25,700,000
Jefferies LLC Jefferies Financial Group diversified 2014 SEC $25,000,000
Moore Capital Management, LP   2010 CFTC $25,000,000
Safevest LLC   2009 CFTC $25,000,000
ICAP plc ICAP financial services 2009 SEC $25,000,000
RS Investment Management L.P.   2004 SEC $25,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $25,000,000
Citigroup Global Markets Inc. Citigroup financial services 2017 CFTC $25,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2010 FL-AG $25,000,000
MBIA, Inc. MBIA financial services 2007 NY-AG $25,000,000
Wachovia Capital Markets LLC Wells Fargo financial services 2006 MULTI-AG $25,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
Goldman Sachs & Co. Goldman Sachs financial services 2003 MULTI-FIN (*) $25,000,000
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
Lehman Brothers Inc. Lehman Brothers financial services 2003 MULTI-FIN (*) $25,000,000
Morgan Stanley & Co. Morgan Stanley financial services 2003 MULTI-FIN (*) $25,000,000
UBS Warburg and UBS PaineWebber UBS financial services 2003 MULTI-FIN (*) $25,000,000
Merrill Lynch Commodities, Inc. Bank of America financial services 2019 CFTC (*) $24,900,000
UBS Financial Services Inc. UBS financial services 2006 NJ-AG $24,750,000
Wachovia Capital Markets LLC Wells Fargo financial services 2007 MULTI-FIN $24,650,000
Stifel, Nicolaus & Co., Inc. Stifel Financial financial services 2016 SEC $24,500,000
Tyco International Ltd., Tyco Electronics Ltd., and Covidien Ltd. Johnson Controls automotive parts 2009 MI-AG $24,500,000
ITG   2017 SEC $24,400,000
BNY Mellon Securities LLC Bank of New York Mellon financial services 2011 SEC $24,045,447
Queen Shoals, LLC, Queen Shoals II, LLC, and Select Fund, LLC   2011 CFTC $24,000,000
Block.one   2019 SEC $24,000,000
Executive Commodity Corp.   2008 CFTC $23,910,000
Citigroup Global Markets, Inc. Citigroup financial services 2017 NY-AG $23,500,000
UBS Financial Services, Inc. UBS financial services 2007 NY-AG $23,300,000
Phaetra Capital GP LLC, Phaetra Capital Management LP, and Argenta Group LLC   2018 CFTC $23,117,551
Commercial Express, LLC and Progressive Financial, Inc.   2002 SEC $23,032,869
Complete Developments, LLC and Investment International Inc.   2013 CFTC $23,000,000
Fabio Bretas de Freitas and Phy Capital Investments LLC   2019 CFTC $22,986,190
Zilmil, Inc.   2019 CFTC $22,854,289
Trader's International Return Network   2013 CFTC $22,800,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc.   2017 SEC $22,614,534
Citadel Securities LLC   2017 SEC $22,600,000
Dinar Corp., Inc. and My Monex, Inc.   2020 CFTC $22,600,000
Century Maxim Fund and AJR Capital   2007 CFTC $22,500,000
Goldman Sachs Goldman Sachs financial services 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. Goldman Sachs financial services 2012 SEC $22,000,000
Risk Capital Trading Group, Inc   2006 CFTC $22,000,000
Commodity Investment Group Inc., International Commodity Clearing LLC and National Commodities Corporation Inc.   2007 CFTC $21,819,785
Level Global Investors LP   2013 SEC $21,514,274
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.