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
Piper Jaffray & Co. Piper Jaffray financial services 2006 ND-SEC $17,204
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
Berthel Fisher and Company Financial Services Inc. Berthel Fisher financial services 2006 ND-SEC $8,000
Piper Jaffray & Co. Piper Jaffray financial services 2006 ND-SEC $229,000
Wachovia Securities LLC Wells Fargo financial services 2007 ND-SEC $75,000
U.S. Bancorp Piper Jaffray Inc. Piper Jaffray financial services 2002 NE-DBF $5,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2003 NE-DBF $20,000
Pruco Securities, LLC Prudential Financial financial services 2006 NE-DBF $12,500
Berthel, Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2007 NE-DBF $5,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2008 NE-DBF $11,000
Cadaret, Grant & Co., Inc. Atria Wealth Solutions financial services 2008 NE-DBF $10,000
Stifel, Nicolaus & Company Inc. Stifel Financial financial services 2014 NE-DBF $61,000
Merrill Lynch Bank of America financial services 2002 NH-BSR $500,000
Morgan Stanley Morgan Stanley financial services 2004 NH-BSR $500,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2005 NH-BSR $435,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2005 NH-BSR $7,375,000
ING Life Insurance and Annuity Company Voya Financial financial services 2006 NH-BSR $3,000,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2008 NH-BSR $3,400,000
UBS Financial Services Inc. UBS financial services 2011 NH-BSR $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2012 NH-BSR $155,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 NH-BSR $35,000
UBS Financial Services Inc. UBS financial services 2012 NH-BSR $72,500
Edward Jones & Co. LP Jones Financial financial services 2014 NH-BSR $750,000
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2014 NH-BSR $140,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2014 NH-BSR $90,000
Citigroup Global Markets Inc. Citigroup financial services 2015 NH-BSR $35,000
LPL Financial, LLC LPL Financial financial services 2015 NH-BSR $750,000
Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2016 NH-BSR $35,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2016 NH-BSR $30,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2016 NH-BSR $900,000
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
State Street Bank and Trust Company State Street Corp. financial services 2018 NH-BSR $325,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services 2018 NH-BSR $983,284
Santander Securities, LLC Banco Santander financial services 2018 NH-BSR $31,562
Berthel Fisher & Company Financial Services, Inc Berthel Fisher financial services 2019 NH-BSR $415,407
Santander Securities, LLC Banco Santander financial services 2019 NH-BSR $50,000
NEXT Financial Group, Inc Atria Wealth Solutions financial services 2019 NH-BSR $325,000
Solium Financial Services LLC Morgan Stanley financial services 2020 NH-BSR $90,000
Smith Barney Morgan Stanley financial services 2007 NJ-BOS $5,000,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services 2010 NJ-BOS $5,415,381
Pruco Securities, LLC Prudential Financial financial services 2013 NJ-BOS $100,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2015 NM-SEC $215,000
Goldman Sachs Goldman Sachs financial services 2015 NY-DFS $50,000,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. financial services 2008 OK-SEC $10,000
CUNA Brokerage Services Inc. CUNA Mutual financial services 2014 OK-SEC $15,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OK-SEC $9,968
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
MetLife Securities MetLife financial services 2005 OR-FIN $12,000
Prosper Marketplace Inc. Prosper Marketplace financial services 2009 OR-FIN $15,000
AXA Advisors LLC AXA financial services 2011 OR-FIN $80,000
LPL Financial LLC LPL Financial financial services 2011 OR-FIN $100,000
Solium Financial Services LLC Morgan Stanley financial services 2020 OR-FIN $10,599
State Farm VP Management Corp. State Farm Insurance financial services 2013 PA-BKG $75,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 PA-BKG $10,000
Edward D. Jones & Co. LP Jones Financial financial services 2016 PA-BKG $135,000
Vanguard Advisers Inc. Vanguard Group financial services 2017 PA-BKG $23,480
Raymond James Financial Services Inc. Raymond James Financial financial services 2017 PA-BKG $125,000
Cadaret Grant & Co. Inc. Atria Wealth Solutions financial services 2019 PA-BKG $90,000
Janney Montgomery Scott LLC Penn Mutual financial services 2006 RI-FIN $10,250
Lincoln Financial Advisors Corp. Lincoln National financial services 2007 RI-FIN $5,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2007 RI-FIN $250,000
Ameriprise Advisor Services Inc. Ameriprise Financial financial services 2009 RI-FIN $48,411
Morgan Keegan & Co. Inc. Raymond James Financial financial services 2010 RI-FIN $20,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2018 RI-FIN $175,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2007 SC-SEC $575,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2011 SC-SEC $30,000
LendingClub Corporation LendingClub Corp. financial services 2015 SC-SEC $150,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 SC-SEC $175,000
Branch Banking and Trust Company Truist Financial financial services 2016 SC-SEC $97,500
Ameriprise Financial Services Inc. Ameriprise Financial financial services 2018 SC-SEC $650,000
LPL Financial LLC LPL Financial financial services 2019 SC-SEC $40,000
Edward D. Jones & Co. L.P. Jones Financial financial services 2019 SD-INS $10,000
MONY Securities Corporation AXA financial services 2003 TN-SEC $10,000
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Solium Financial Services LLC Morgan Stanley financial services 2020 TN-SEC $12,994
American Express Financial Advisors Inc. Ameriprise Financial financial services 2000 TX-SEC $9,000
Ameritas Investment Corporation Ameritas Mutual Holding Company financial services 2003 TX-SEC $25,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
A.G. Edwards & Sons Inc. Wells Fargo financial services 2008 TX-SEC $5,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2008 TX-SEC $400,000
LPL Financial Corporation LPL Financial financial services 2008 TX-SEC $5,000
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
UBS Securities LLC UBS financial services 2010 TX-SEC $6,640,432
Citigroup Global Markets Inc. Citigroup financial services 2010 TX-SEC $130,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 TX-SEC $40,000
BNY Mellon Capital Markets LLC Bank of New York Mellon financial services 2011 TX-SEC $500,000
TD Ameritrade Inc. TD Ameritrade financial services 2015 TX-SEC $400,000
LPL Financial LLC LPL Financial financial services 2016 TX-SEC $95,000
Scottrade Inc. TD Ameritrade financial services 2016 TX-SEC $100,000
Charles Schwab & Co. Inc. Charles Schwab Corp. financial services 2016 TX-SEC $125,000
Next Financial Group, Inc. Atria Wealth Solutions financial services 2020 TX-SEC $600,000
LendingClub Corporation LendingClub Corp. financial services 2020 TX-SEC $400,000
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
MERRILL LYNCH PIERCE FENNER & Bank of America financial services 2004 VA-SEC $268,723
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $75,000
Merrill Lynch, Pierce, Fenner & Smith, Incorporated Bank of America financial services 2006 VA-SEC $33,000
UBS FINANCIAL SERVICES, INC. UBS financial services 2007 VA-SEC $100,000
AMERIPRISE FINANCIAL SERVICES Ameriprise Financial financial services 2008 VA-SEC $780,000
CITIGROUP GLOBAL MARKETS Citigroup financial services 2008 VA-SEC $22,000
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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.