Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
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 Industrysort icon Year Agency Penalty Amount
Edward D. Jones & Co. L.P. Jones Financial financial services 2005 MO-SEC $1,500,000
Waddell & Reed, Inc. Macquarie 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 Equitable Holdings 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 Sandler financial services 2003 MT-SEC $2,625,000
Waddell & Reed, Inc. Macquarie financial services 2005 MT-SEC $25,000
Piper Jaffray & Co. Piper Sandler 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 Sandler 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 Sandler financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $17,000
Piper Jaffray & Co. Piper Sandler financial services 2005 ND-SEC $30,000
Piper Jaffray & Co. Piper Sandler 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 Sandler 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 Sandler 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
Eaton Vance Income Fund of Boston Morgan Stanley financial services 2006 NE-DBF $17,000
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
CCO Investment Services Corp. NatWest Group PLC financial services 2007 NH-BSR $375,000
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. Macquarie 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. Macquarie financial services 2008 OK-SEC $10,000
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.