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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
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2017 FINRA $3,400,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 FINRA $13,030,000
C.L. King & Associates, Inc.   2017 FINRA $750,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2017 FINRA $2,500,000
Citigroup Global Markets Inc. Citigroup financial services 2017 FINRA $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
Interactive Brokers LLC Interactive Brokers Group financial services 2017 FINRA $450,000
Purshe Kaplan Sterling Investments   2017 FINRA $4,150,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services 2016 FINRA $4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services 2016 FINRA $3,500,000
RBS Securities, Inc. NatWest Group PLC financial services 2016 FINRA $2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services 2016 FINRA $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2016 FINRA $1,500,000
LPL Financial LLC LPL Financial financial services 2016 FINRA $750,000
Georgeson Securities Corporation   2016 FINRA $650,000
PNC Capital Markets LLC PNC Financial Services financial services 2016 FINRA $50,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2016 FINRA $7,030,000
VALIC Financial Advisors, Inc. American International Group financial services 2016 FINRA $1,750,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $3,425,000
VOYA Financial Advisors Inc. Voya Financial financial services 2016 FINRA $4,550,000
Cetera Advisor Networks LLC   2016 FINRA $750,000
Cetera Financial Specialists LLC   2016 FINRA $350,000
First Allied Securities, Inc.   2016 FINRA $950,000
Summit Brokerage Services, Inc.   2016 FINRA $500,000
VSR Financial Services, Inc.   2016 FINRA $400,000
Kestra Investment Services, LLC   2016 FINRA $475,000
FTB Advisors, Inc.   2016 FINRA $250,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services 2016 FINRA $2,800,000
Avenir Financial Group   2016 FINRA $229,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 FINRA $850,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $12,500,000
Barclays Capital Inc. Barclays financial services 2016 FINRA $1,300,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services 2016 FINRA $950,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2016 FINRA $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2016 FINRA $5,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $2,966,000
E-Trade Securities LLC Morgan Stanley financial services 2016 FINRA $900,000
Stephens Inc.   2016 FINRA $900,000
MetLife Securities, Inc. MetLife financial services 2016 FINRA $25,000,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 FINRA $675,000
Barclays Capital, Inc. Barclays financial services 2015 FINRA $13,750,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 FINRA $2,950,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services 2015 FINRA $7,300,000
Fidelity Brokerage Services LLC Fidelity Investments financial services 2015 FINRA $1,030,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2015 FINRA $1,400,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $2,600,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2015 FINRA $13,500,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2015 FINRA $2,900,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2015 FINRA $1,200,000
AXA Advisors, LLC Equitable Holdings financial services 2015 FINRA $600,000
Stephens Inc.   2015 FINRA $150,000
First Allied Securities, Inc.   2015 FINRA $1,014,647
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2015 FINRA $963,534
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 FINRA $752,686
Cetera Advisors LLC   2015 FINRA $702,622
Park Avenue Securities LLC   2015 FINRA $743,255
Commonwealth Financial Network   2015 FINRA $582,521
MetLife Securities, Inc. MetLife financial services 2015 FINRA $649,748
Comerica Securities Comerica financial services 2015 FINRA $347,757
Cetera Advisor Networks LLC   2015 FINRA $301,108
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2015 FINRA $278,544
Infinex Investments, Inc.   2015 FINRA $259,627
The Huntington Investment Company   2015 FINRA $135,973
Santander Securities LLC Banco Santander financial services 2015 FINRA $6,421,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services 2015 FINRA $18,500,000
Charles Schwab & Co. Charles Schwab Corp. financial services 2015 FINRA $2,000,000
StockCross Financial Services, Inc.   2015 FINRA $800,000
Aegis Capital Corp.   2015 FINRA $950,000
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
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.