Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$81,951,144,270
Number of Penalty Records: 
6,612
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$11,680,355,33362
Citigroup$8,177,245,73064
JPMorgan Chase$6,210,421,20673
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 Industry Year Agencysort icon Penalty Amount
SII Investments, Inc.   2005 FINRA $658,500
Investment Centers of America, Inc. LPL Financial financial services 2005 FINRA $363,500
Lord Abbett Distributor, LLC   2005 FINRA $255,000
ING Funds Distributor Voya Financial financial services 2005 FINRA $1,500,000
First Allied Securities, Inc.   2005 FINRA $734,500
David Lerner Associates, Inc.   2005 FINRA $115,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2005 FINRA $300,000
Hantz Financial Services, Inc.   2005 FINRA $675,000
Morgan Stanley DW, Inc. Morgan Stanley financial services 2005 FINRA $6,100,000
Hornor, Townsend & Kent, Inc.   2005 FINRA $325,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $280,000
ABN AMRO Incorporated ABN AMRO financial services 2005 FINRA $220,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $160,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $140,000
Stephens, Inc.   2005 FINRA $110,000
Stone & Youngberg, LLC   2005 FINRA $110,000
Banc of America Investment Services, Inc. Bank of America financial services 2005 FINRA $90,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2005 FINRA $90,000
Brinker Capital Securities, Inc.   2005 FINRA $60,000
Chase Investment Services Corp. JPMorgan Chase financial services 2005 FINRA $60,000
Citigroup Global Markets Inc. Citigroup financial services 2005 FINRA $60,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2005 FINRA $40,000
Emmet & Co., Inc.   2005 FINRA $40,000
Loop Capital Markets, LLC   2005 FINRA $40,000
Popular Securities, Inc.   2005 FINRA $40,000
BOSC, Inc.   2005 FINRA $30,000
Pershing LLC   2005 FINRA $30,000
Prager, Sealy & Co., LLC   2005 FINRA $30,000
Tejas Securities Group, Inc.   2005 FINRA $10,000
UBS International Inc. UBS financial services 2005 FINRA $10,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 FINRA $2,650,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $150,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $125,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
H.D. Vest Investment Services   2005 FINRA $4,015,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
Linsco/Private Ledger Corp.   2005 FINRA $3,602,398
Wells Fargo Investments, LLC Wells Fargo financial services 2005 FINRA $2,970,000
SunAmerica Securities, Inc. American International Group financial services 2005 FINRA $2,500,000
FSC Securities Corp.   2005 FINRA $2,400,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $2,400,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,700,000
McDonald Investments Inc.   2005 FINRA $1,500,000
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
Advantage Capital Corp.   2005 FINRA $450,000
Advest, Inc.   2005 FINRA $286,415
SunTrust Capital Markets, Inc. Truist Financial financial services 2005 FINRA $100,000
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Thomas Weisel Partners Stifel Financial financial services 2005 FINRA $1,750,000
Jefferson Pilot Variable Corporation Lincoln National financial services 2005 FINRA $688,697
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
American Express Financial Advisors Ameriprise Financial financial services 2005 FINRA $13,000,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Quick & Reilly, Inc.   2005 FINRA $570,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $275,000
Scottrade, Inc. Charles Schwab Corp. financial services 2005 FINRA $250,000
LH Ross   2005 FINRA $11,968,000
Yankee Financial Group, Inc.   2005 FINRA $3,800,000
Banc One Securities Corporation JPMorgan Chase financial services 2005 FINRA $400,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2004 FINRA $825,000
Knight Securities, L.P. Virtu Financial financial services 2004 FINRA $12,500,000
First Command Financial Planning Inc.   2004 FINRA $12,000,000
Sigma Financial Corporation   2004 FINRA $135,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $275,000
Morgan Stanley DW Inc Morgan Stanley financial services 2004 FINRA $336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FINRA $1,600,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 FINRA $700,000
Wachovia Securities LLC Wells Fargo financial services 2004 FINRA $650,000
Prudential Equity Group LLC Prudential Financial financial services 2004 FINRA $550,000
LINSCO/Private Ledger Corp.   2004 FINRA $450,000
PFS Investments, Inc.   2004 FINRA $450,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2004 FINRA $400,000
Metropolitan Life Insurance Co. MetLife financial services 2004 FINRA $375,000
NYLife Securities, Inc. New York Life Insurance financial services 2004 FINRA $350,000
WM Financial Services, Inc.   2004 FINRA $350,000
Edward Jones & Co., LP Jones Financial financial services 2004 FINRA $300,000
Chase Investment Services Corp. JPMorgan Chase financial services 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services 2004 FINRA $250,000
Banc of America Investment Services Inc. Bank of America financial services 2004 FINRA $200,000
ING Financial Partners, Inc. Voya Financial financial services 2004 FINRA $200,000
New England Securities MetLife financial services 2004 FINRA $200,000
J.P. Turner & Company, LLC   2004 FINRA $185,000
Financial Network Investment Corp.   2004 FINRA $185,000
Allstate Financial Services LLC Allstate financial services 2004 FINRA $150,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2004 FINRA $150,000
Wells Fargo Investments, LLC Wells Fargo financial services 2004 FINRA $150,000
World Group Securities, Inc. Aegon financial services 2004 FINRA $150,000
Farmers Financial Solutions LLC   2004 FINRA $125,000
InterSecurities, Inc.   2004 FINRA $125,000
Jefferson Pilot Securities Corporation Lincoln National financial services 2004 FINRA $125,000
J.J.B. Hilliard, W.L. Lyons Inc.   2004 FINRA $125,000
Quick & Reilly, Inc.   2004 FINRA $125,000
SunAmerica Securities, Inc. American International Group financial services 2004 FINRA $100,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Sentinel Financial Services Company   2004 FINRA $700,000
BNY Brokerage, Inc.   2004 FINRA $12,000
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.