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.
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Company Parent Parent Major Industrysort icon Year Agency Penalty Amount
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 AK-DBS $51,120
Citigroup Global Markets, Inc. Citigroup financial services 2015 AK-DBS $35,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AK-DBS $10,527
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Morgan Keegan & Co. Raymond James Financial financial services 2005 AL-SEC $100,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2012 AL-SEC $60,000
Morgan Keegan & Co. Raymond James Financial financial services 2017 AL-SEC $20,000
LPL Financial LLC LPL Financial financial services 2018 AL-SEC $80,000
Solium Financial Services LLC Morgan Stanley financial services 2020 AL-SEC $18,874
Allied Home Mortgage Capital Corp. Americus Mortgage financial services 2009 AR-SEC $10,000
Merrill Lynch & Pierce, Fenner & Smith Inc. Bank of America financial services 2010 AR-SEC $15,000
Morgan Keegan & Co. Raymond James Financial financial services 2012 AR-SEC $59,659
Interactive Brokers, LLC Interactive Brokers Group financial services 2013 AR-SEC $6,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2018 AR-SEC $50,000
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
Solium Financial Services LLC Morgan Stanley financial services 2019 AR-SEC $5,000
American Express Financial Advisors Ameriprise Financial financial services 2000 AZ-SEC $125,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 AZ-SEC $1,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2006 AZ-SEC $1,250,000
World Group Securities, Inc. Aegon financial services 2010 AZ-SEC $853,501
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 CA-DBO $33,520
LendingClub Corp. LendingClub Corp. financial services 2015 CA-DBO $46,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2018 CA-DBO $115,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CA-DBO $52,047
Janney Montgomery Scott LLC Penn Mutual financial services 2005 CO-SEC $259,227
OppenheimerFunds Distributor, Inc. Invesco financial services 2007 CO-SEC $494,500
AllianceBernstein L.P. AXA financial services 2013 CO-SEC $20,232
Thomas Weisel Partners LLC Stifel Financial financial services 2006 CT-SEC $52,480
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 CT-SEC $3,500,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
UBS Financial Services Inc. UBS financial services 2007 CT-SEC $5,500,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2010 CT-SEC $5,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo financial services 2010 CT-SEC $75,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2011 CT-SEC $2,800,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2012 CT-SEC $40,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 CT-SEC $5,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2014 CT-SEC $53,800
Citigroup Global Markets Inc. Citigroup financial services 2015 CT-SEC $35,000
ProEquities, Inc. Dai-ichi Life financial services 2018 CT-SEC $7,590
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Solium Financial Services LLC Morgan Stanley financial services 2020 CT-SEC $51,136
MetLife Securities, Inc. MetLife financial services 2012 DC-DISB $25,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 DC-DISB $15,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Janney Montgomery Scott, Inc. Penn Mutual financial services 2001 DE-SEC $210,909
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
AllianceBernstein L.P. AXA financial services 2012 DE-SEC $20,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Janney Montgomery Scott LLC Penn Mutual financial services 2015 DE-SEC $105,000
LPL Financial LLC LPL Financial financial services 2015 DE-SEC $200,000
Allstate Financial Services, LLC Allstate financial services 2002 FL-OFR $21,300
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
ProEquities, Inc. Dai-ichi Life financial services 2004 FL-OFR $5,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FL-OFR $10,000
LendingClub Corp. LendingClub Corp. financial services 2012 FL-OFR $100,000
Solium Financial Services LLC Morgan Stanley financial services 2020 GA-SEC $22,104
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2014 IA-INS $10,000
Solium Financial Services, LLC Morgan Stanley financial services 2020 IA-INS $10,147
World Group Securities, Inc. Aegon financial services 2004 ID-SEC $15,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 ID-SEC $415,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 IL-SEC $5,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 IL-SEC $7,500
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2005 IL-SEC $10,000
Banc of America Investment Services, Inc. Bank of America financial services 2006 IL-SEC $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2007 IL-SEC $40,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 IL-SEC $1,449,384
ING Financial Partners, Inc. Voya Financial financial services 2008 IL-SEC $4,677,326
LPL Financial Corp. LPL Financial financial services 2010 IL-SEC $300,000
MetLife Securities, Inc. MetLife financial services 2010 IL-SEC $135,000
Charles Schwab & Co., Inc. et al. Charles Schwab Corp. financial services 2011 IL-SEC $8,567,364
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2011 IL-SEC $80,224
LPL Financial, LLC LPL Financial financial services 2011 IL-SEC $250,000
Merrill Lynch Pierce Fenner & Smith Inc. Bank of America financial services 2012 IL-SEC $25,930,000
Southwest Securities, Inc. Hilltop Holdings financial services 2012 IL-SEC $7,500
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $2,000,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $815,218
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2017 IL-SEC $270,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 IN-SEC $692,000
ProEquities, Inc. Dai-ichi Life financial services 2010 IN-SEC $9,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2010 IN-SEC $8,495
Edward D. Jones & Co., L.P. Jones Financial financial services 2011 IN-SEC $10,000
UBS Financial Services UBS financial services 2011 IN-SEC $677,000
Fidelity Brokerage Services LLC Fidelity Investments financial services 2011 IN-SEC $7,500
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2012 IN-SEC $210,000
LPL Financial, LLC LPL Financial financial services 2013 IN-SEC $14,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2013 IN-SEC $8,500
Prosper Marketplace Prosper Marketplace financial services 2015 IN-SEC $13,957
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 IN-SEC $475,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2016 IN-SEC $905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 IN-SEC $950,000
NYLIFE Securities, LLC New York Life Insurance financial services 2017 IN-SEC $275,000
LPL Financial, LLC LPL Financial financial services 2018 IN-SEC $450,000
Solium Financial Services LLC Morgan Stanley financial services 2020 IN-SEC $15,575
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
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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.