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
Bank of Louisville Truist Financial financial services 2002 KY-INS $27,000,000
Morgan Stanley D.W., Inc. Morgan Stanley financial services 2004 KY-FIN $100,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2009 KY-FIN $983,984
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 KY-FIN $325,000
State Street Global Advisors State Street Corp. financial services 2012 MA-SEC $5,000,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2012 MA-SEC $250,000
Citigroup Global Markets Inc. Citigroup financial services 2012 MA-SEC $2,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2012 MA-SEC $5,000,000
LPL Financial LLC LPL Financial financial services 2013 MA-SEC $500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2013 MA-SEC $17,500,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MA-SEC $400,000
Lincoln Financial Advisors Corp. Lincoln National financial services 2013 MA-SEC $100,000
Citigroup Global Markets Inc. Citigroup financial services 2013 MA-SEC $30,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2015 MA-SEC $2,500,000
LPL Financial LLC LPL Financial financial services 2015 MA-SEC $250,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
Investment Professionals, Inc. Ameriprise Financial financial services 2017 MA-SEC $100,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
MetLife, Inc. MetLife financial services 2018 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2019 MA-SEC $1,100,000
Wells Fargo Clearing Services, LLC Wells Fargo financial services 2019 MA-SEC $450,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2019 MA-SEC $382,500
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 MA-SEC $150,000
Banc of America Investment Services, Inc. Bank of America financial services 2008 MD-SEC $10,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 MD-SEC $35,000
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2009 MD-SEC $100,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 MD-SEC $28,706
Wells Fargo Advisors LLC Wells Fargo financial services 2012 MD-SEC $50,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 MD-SEC $50,000
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2017 MD-SEC $100,000
LPL Financial LLC LPL Financial financial services 2019 MD-SEC $499,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2010 ME-SEC $10,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
LendingClub Corporation LendingClub Corp. financial services 2013 ME-SEC $45,000
NYLIFE Securities LLC New York Life Insurance financial services 2019 ME-SEC $50,000
Solium Financial Services, LLC Morgan Stanley financial services 2020 ME-SEC $5,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 MI-SEC $900,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2020 MI-SEC $50,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2002 MN-FIN $5,000
Berthel Fisher & Company Berthel Fisher financial services 2003 MN-FIN $10,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2005 MN-FIN $2,000,000
ING Financial Partners, Inc. Voya Financial financial services 2012 MN-FIN $5,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2005 MO-SEC $122,050
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 MO-SEC $172,161
World Group Securities, Inc. Aegon financial services 2006 MO-SEC $228,600
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 MO-SEC $230,469
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
UBS Financial Services, Inc. UBS financial services 2007 MO-SEC $697,210
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2009 MO-SEC $20,000
Securian Financial Services, Inc. Securian Financial financial services 2009 MO-SEC $79,445
Raymond James Financial Services, Inc. Raymond James Financial financial services 2009 MO-SEC $52,300
UBS Financial Services, Inc. UBS financial services 2009 MO-SEC $170,175
Investment Professionals, Inc. Ameriprise Financial financial services 2009 MO-SEC $52,500
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2010 MO-SEC $211,617
Edward D. Jones & Co. L.P. Jones Financial financial services 2010 MO-SEC $40,500
Bankers Life and Casualty Co. CNO Financial financial services 2010 MO-SEC $789,600
LPL Financial Corp. LPL Financial financial services 2010 MO-SEC $37,540
Citigroup Global Markets, Inc. Citigroup financial services 2010 MO-SEC $277,500
AXA Advisors, LLC AXA financial services 2010 MO-SEC $92,015
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2011 MO-SEC $765,993
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2011 MO-SEC $5,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2012 MO-SEC $1,101,385
LendingClub Corp. LendingClub Corp. financial services 2012 MO-SEC $105,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2013 MO-SEC $80,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 MO-SEC $2,121,579
LPL Financial LLC LPL Financial financial services 2013 MO-SEC $185,000
Bankers Life and Casualty Co. CNO Financial financial services 2015 MO-SEC $102,178
ProEquities, Inc. Dai-ichi Life financial services 2015 MO-SEC $128,528
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2016 MO-SEC $850,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services 2017 MO-SEC $25,672
Solium Financial Services LLC Morgan Stanley financial services 2020 MO-SEC $9,130
AmSouth Investment Services, Inc. Regions Financial financial services 2004 MS-SEC $225,000
MetLife Securities, Inc. MetLife financial services 2006 MS-SEC $50,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2007 MS-SEC $12,500
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 MS-SEC $150,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 MS-SEC $4,743,815
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2017 MS-SEC $50,000
LPL Financial LLC LPL Financial financial services 2018 MS-SEC $40,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2003 MT-SEC $2,625,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MT-SEC $25,000
Piper Jaffray & Co. Piper Jaffray financial services 2006 MT-SEC $345,000
UBS Financial Services, Inc. UBS financial services 2006 MT-SEC $4,503,166
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2010 MT-SEC $5,000
Edward Jones Jones Financial financial services 2010 MT-SEC $100,000
LPL Financial LLC LPL Financial financial services 2012 MT-SEC $30,500
Metlife Investors USA Insurance Co MetLife financial services 2012 MT-SEC $5,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2012 MT-SEC $186,439
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 NC-SEC $7,800,000
US Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2001 ND-SEC $23,250
Edward D. Jones & Co. LP Jones Financial financial services 2003 ND-SEC $7,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2003 ND-SEC $12,303
Principal Life Insurance Company Principal Financial financial services 2004 ND-SEC $30,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Jaffray financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Jaffray financial services 2004 ND-SEC $17,000
Piper Jaffray & Co. Piper Jaffray financial services 2005 ND-SEC $30,000
Piper Jaffray & Co. Piper Jaffray financial services 2006 ND-SEC $17,204
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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.