Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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 Industry Year Agencysort icon Penalty Amount
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2015 FINRA $1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2015 FINRA $15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2015 FINRA $8,700,000
LPL Financial LLC LPL Financial financial services 2015 FINRA $6,300,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2015 FINRA $650,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $300,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 FINRA $2,000,000
LPL Financial LLC LPL Financial financial services 2015 FINRA $11,700,000
RBC Capital Markets Royal Bank of Canada financial services 2015 FINRA $1,434,000
H. Beck, Inc.   2015 FINRA $425,000
LaSalle St. Securities, LLC   2015 FINRA $175,000
J.P. Turner & Company, LLC   2015 FINRA $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 FINRA $3,750,000
First New York Securities L.L.C.   2015 FINRA $916,000
Brookville Capital Partners LLC   2015 FINRA $1,500,000
John Thomas Financial   2015 FINRA $1,147,288
Monex Securities Inc.   2014 FINRA $1,275,000
Pershing LLC   2014 FINRA $3,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2014 FINRA $2,440,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $5,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2014 FINRA $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $5,000,000
JP Morgan Securities LLC JPMorgan Chase financial services 2014 FINRA $5,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2014 FINRA $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2014 FINRA $4,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services 2014 FINRA $4,000,000
Wells Fargo Securities, LLC Wells Fargo financial services 2014 FINRA $4,000,000
Needham & Company LLC   2014 FINRA $2,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2014 FINRA $15,000,000
Merrill Lynch Bank of America financial services 2014 FINRA $6,000,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $2,488,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2014 FINRA $800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $32,400,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 FINRA $5,000,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
LPL Financial LLC LPL Financial financial services 2014 FINRA $950,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
Triad Advisors   2014 FINRA $1,025,000
Securities America Reverence Capital Partners private equity (including portfolio companies) 2014 FINRA $625,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2014 FINRA $775,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2013 FINRA $6,500,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2013 FINRA $921,000
J.P. Turner & Company, L.L.C.   2013 FINRA $707,559
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
SG Americas Securities, Inc. Societe Generale financial services 2013 FINRA $675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services 2013 FINRA $1,188,000
Newedge USA, LLC   2013 FINRA $9,500,000
StateTrust Investments, Inc.   2013 FINRA $1,398,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2013 FINRA $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2013 FINRA $2,000,000
LPL Financial LLC LPL Financial financial services 2013 FINRA $9,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 FINRA $1,373,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 FINRA $750,000
Charles Schwab & Company Charles Schwab Corp. financial services 2013 FINRA $500,000
ING Groep N.V. Voya Financial financial services 2013 FINRA $1,200,000
Citigroup Citigroup financial services 2012 FINRA $1,279,106
Goldman Sachs Goldman Sachs financial services 2012 FINRA $683,997
JP Morgan JPMorgan Chase financial services 2012 FINRA $623,376
Merrill Lynch Bank of America financial services 2012 FINRA $1,074,200
Morgan Stanley Morgan Stanley financial services 2012 FINRA $817,754
Pruco Securities, LLC Prudential Financial financial services 2012 FINRA $11,250,000
David Lerner Associates, Inc.   2012 FINRA $14,300,000
Guggenheim Securities, LLC   2012 FINRA $800,000
Hold Brothers On-Line Investment Services, LLC   2012 FINRA $3,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2012 FINRA $500,000
Rodman & Renshaw LLC   2012 FINRA $315,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2012 FINRA $2,800,000
Brookstone Securities   2012 FINRA $2,600,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $3,500,000
Citigroup Global Markets, Inc Citigroup financial services 2012 FINRA $2,741,489
Morgan Stanley & Co., LLC Morgan Stanley financial services 2012 FINRA $2,146,431
UBS Financial Services UBS financial services 2012 FINRA $2,354,584
Wells Fargo Advisors, LLC Wells Fargo financial services 2012 FINRA $1,931,488
Goldman, Sachs & Co. Goldman Sachs financial services 2012 FINRA (*) $11,000,000
Citi International Financial Services LLC   2012 FINRA $1,248,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2012 FINRA $1,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $725,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $1,750,000
Barclays Capital Inc. Barclays financial services 2011 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2011 FINRA $2,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2011 FINRA $2,050,000
Investors Capital Corporation   2011 FINRA $400,000
Garden State Securities, Inc.   2011 FINRA $300,000
Capital Financial Services   2011 FINRA $200,000
National Securities Corporation   2011 FINRA $175,000
Equity Services, Inc.   2011 FINRA $214,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 FINRA $250,000
Newbridge Securities Corporation   2011 FINRA $25,000
Wells Investment Securities, Inc.   2011 FINRA $300,000
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
UBS Securities LLC UBS financial services 2011 FINRA $12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2011 FINRA $1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 FINRA $2,115,000
Pointe Capital, Inc.   2011 FINRA $300,000
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(*): 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.