Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
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$11,679,855,33361
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
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
ProEquities, Inc. Dai-ichi Life financial services 2009 FINRA $25,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $2,000,000
Wachovia Securities Wells Fargo financial services 2009 FINRA $4,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2008 FINRA $300,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services 2008 FINRA $250,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2008 FINRA $1,650,000
Comerica Securities, Inc. Comerica financial services 2008 FINRA $750,000
SunTrust Investment Services, Inc. Truist Financial financial services 2008 FINRA $300,000
Prudential Securities Wells Fargo financial services 2008 FINRA $1,050,000
UBS Financial Services, Inc. UBS financial services 2008 FINRA $1,000,000
Pruco Securities Prudential Financial financial services 2008 FINRA $100,000
Merrill Lynch Bank of America financial services 2008 FINRA $250,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Banc One Securities Corporation JPMorgan Chase financial services 2008 FINRA $225,000
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
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
Deutsche Bank Securities, Inc., Deutsche Bank financial services 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
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2007 FINRA $500,000
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
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
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
Morgan Stanley DW Inc. Morgan Stanley financial services 2006 FINRA $100,000
Chase Investment Services Corporation JPMorgan Chase financial services 2006 FINRA $500,000
MetLife Securities, Inc MetLife financial services 2006 FINRA $500,000
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
Morgan Stanley Morgan Stanley financial services 2006 FINRA $2,900,000
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
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2006 FINRA $5,000,000
Sanford C. Bernstein & Co. Equitable Holdings financial services 2006 FINRA $350,000
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
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
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2005 FINRA $1,250,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 FINRA $2,200,000
Lincoln Financial Advisors Corporation Lincoln National financial services 2005 FINRA $950,000
Investment Centers of America, Inc. LPL Financial financial services 2005 FINRA $363,500
ING Funds Distributor Voya Financial financial services 2005 FINRA $1,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services 2005 FINRA $300,000
Morgan Stanley DW, Inc. Morgan Stanley financial services 2005 FINRA $6,100,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $280,000
ABN AMRO Incorporated ABN AMRO financial services 2005 FINRA $220,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $160,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $140,000
Banc of America Investment Services, Inc. Bank of America financial services 2005 FINRA $90,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2005 FINRA $90,000
Chase Investment Services Corp. JPMorgan Chase financial services 2005 FINRA $60,000
Citigroup Global Markets Inc. Citigroup financial services 2005 FINRA $60,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services 2005 FINRA $40,000
UBS International Inc. UBS financial services 2005 FINRA $10,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 FINRA $2,650,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2005 FINRA $150,000
Goldman, Sachs & Co. Goldman Sachs financial services 2005 FINRA $125,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services 2005 FINRA $3,984,087
Wells Fargo Investments, LLC Wells Fargo financial services 2005 FINRA $2,970,000
SunAmerica Securities, Inc. American International Group financial services 2005 FINRA $2,500,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,700,000
AXA Advisors, LLC Equitable Holdings financial services 2005 FINRA $900,000
SunTrust Capital Markets, Inc. Truist Financial financial services 2005 FINRA $100,000
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
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.