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
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
SMH Capital Inc.   2008 FINRA $450,000
Broadpoint Capital, Inc.   2008 FINRA $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2008 FINRA $200,000
Lehman Brothers, Inc. Lehman Brothers financial services 2008 FINRA $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2008 FINRA $200,000
Needham & Company, LLC   2008 FINRA $200,000
Robert W. Baird & Co., Inc.   2008 FINRA $200,000
Thomas Weisel Partners, LLC Stifel Financial financial services 2008 FINRA $200,000
UBS Securities, LLC UBS financial services 2008 FINRA $200,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2008 FINRA $150,000
BMO Capital Markets Corp. Bank of Montreal financial services 2008 FINRA $150,000
Cowen and Company, LLC   2008 FINRA $150,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services 2008 FINRA $150,000
Leerink Swann & Company, Inc.   2008 FINRA $150,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2008 FINRA $150,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2008 FINRA $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2008 FINRA $50,000
JMP Securities, LLC   2008 FINRA $50,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2007 FINRA $500,000
Rafferty Capital Markets, LLC   2007 FINRA $409,605
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 FINRA $300,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
UBS Financial Services, Inc. UBS financial services 2007 FINRA $370,000
Morgan Stanley & Co. Morgan Stanley financial services 2007 FINRA $12,500,000
AXA Advisors, LLC Equitable Holdings financial services 2007 FINRA $2,600,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2007 FINRA $6,100,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services 2007 FINRA $473,000
NYLIFE Securities LLC New York Life Insurance financial services 2007 FINRA $354,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 FINRA $322,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services 2007 FINRA $100,000
Wells Fargo Securities, LLC Wells Fargo financial services 2007 FINRA $250,000
Wachovia Securities LLC Wells Fargo financial services 2007 FINRA $2,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2007 FINRA $15,200,000
HSBC Brokerage HSBC financial services 2007 FINRA $250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services 2007 FINRA $400,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2007 FINRA $2,750,000
Scudder Distributors, Inc.   2007 FINRA $425,000
Putnam Retail Management Limited Partnership Power Financial Corporation financial services 2007 FINRA $175,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services 2007 FINRA $100,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services 2007 FINRA $3,750,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services 2006 FINRA $4,000,000
USAllianz Securities Allianz financial services 2006 FINRA $5,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2006 FINRA $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Jefferies & Company, Inc. Jefferies Financial Group diversified 2006 FINRA $5,500,000
EKN Financial Services Inc.   2006 FINRA $200,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
MetLife, Inc. MetLife financial services 2006 FINRA $5,000,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $16,300,000
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
American Funds Distributors Inc.   2006 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2006 FINRA $1,115,000
ING America Insurance Holdings Inc. Voya Financial financial services 2006 FINRA $7,000,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
Citigroup Global Markets, Inc. Citigroup financial services 2006 FINRA $350,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2006 FINRA $225,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2006 FINRA $200,000
Trillium Trading LLC   2006 FINRA $225,000
Schonfeld & Company LLC   2006 FINRA $175,000
LaSalle Street Securities, Inc.   2006 FINRA $200,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 FINRA $5,000,000
David Lerner Associates, Inc.   2006 FINRA $400,000
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
Berean Capital Incorporated   2006 FINRA $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2005 FINRA $14,000,000
Wells Fargo Investments Wells Fargo financial services 2005 FINRA $3,000,000
Linsco/Private Ledger Corporation   2005 FINRA $2,400,000
First Avantus Securities, Inc.   2005 FINRA $100,000
National Securities Corporation   2005 FINRA $85,000
First Clearing Corporation   2005 FINRA $110,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $290,262
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $12,300,000
State Street Global Markets LLC State Street Corp. financial services 2005 FINRA $1,400,000
SG Americas Securities, LLC Societe Generale financial services 2005 FINRA $4,478,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2005 FINRA $2,108,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,158,000
DebtTraders, Inc.   2005 FINRA $120,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
Green Street Advisors   2005 FINRA $150,000
Instinet, LLC and INET ATS, Inc.   2005 FINRA $1,475,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 FINRA $2,200,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   2005 FINRA $1,520,000
Commonwealth Financial Network   2005 FINRA $1,400,000
National Planning Corporation Inc.   2005 FINRA $1,308,000
Mutual Service Corporation   2005 FINRA $1,300,000
Lincoln Financial Advisors Corporation Lincoln National financial services 2005 FINRA $950,000
SII Investments, Inc.   2005 FINRA $658,500
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.