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
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Thomas Weisel Partners Stifel Financial financial services 2005 FINRA $1,750,000
Jefferson Pilot Variable Corporation Lincoln National financial services 2005 FINRA $688,697
Citigroup Global Markets, Inc. Citigroup financial services 2005 FINRA $6,250,000
American Express Financial Advisors Ameriprise Financial financial services 2005 FINRA $13,000,000
Chase Investment Services JPMorgan Chase financial services 2005 FINRA $2,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services 2005 FINRA $1,000,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $275,000
Scottrade, Inc. Charles Schwab Corp. financial services 2005 FINRA $250,000
Banc One Securities Corporation JPMorgan Chase financial services 2005 FINRA $400,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2004 FINRA $825,000
Knight Securities, L.P. Virtu Financial financial services 2004 FINRA $12,500,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $275,000
Morgan Stanley DW Inc Morgan Stanley financial services 2004 FINRA $336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2004 FINRA $1,600,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2004 FINRA $700,000
Wachovia Securities LLC Wells Fargo financial services 2004 FINRA $650,000
Prudential Equity Group LLC Prudential Financial financial services 2004 FINRA $550,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2004 FINRA $400,000
Metropolitan Life Insurance Co. MetLife financial services 2004 FINRA $375,000
NYLife Securities, Inc. New York Life Insurance financial services 2004 FINRA $350,000
Edward Jones & Co., LP Jones Financial financial services 2004 FINRA $300,000
Chase Investment Services Corp. JPMorgan Chase financial services 2004 FINRA $250,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services 2004 FINRA $250,000
Banc of America Investment Services Inc. Bank of America financial services 2004 FINRA $200,000
ING Financial Partners, Inc. Voya Financial financial services 2004 FINRA $200,000
New England Securities MetLife financial services 2004 FINRA $200,000
Allstate Financial Services LLC Allstate financial services 2004 FINRA $150,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2004 FINRA $150,000
Wells Fargo Investments, LLC Wells Fargo financial services 2004 FINRA $150,000
World Group Securities, Inc. Aegon financial services 2004 FINRA $150,000
Jefferson Pilot Securities Corporation Lincoln National financial services 2004 FINRA $125,000
SunAmerica Securities, Inc. American International Group financial services 2004 FINRA $100,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services 2004 FINRA $50,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $15,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services 2004 FINRA $70,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services 2004 FINRA $75,000
UBS Securities, L.L.C. UBS financial services 2004 FINRA $10,000
SG Cowen, LLC Cowen Inc. financial services 2004 FINRA $800,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $2,200,000
Goldman, Sachs & Co. Goldman Sachs financial services 2004 FINRA $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,000,000
Citigroup Global Markets Inc. Citigroup financial services 2004 FINRA $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2004 FINRA $250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2004 FINRA $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $250,000
Piper Jaffray & Co. Piper Sandler financial services 2004 FINRA $2,400,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services 2004 FINRA $60,869
Edward Jones Jones Financial financial services 2004 FINRA $25,181
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2004 FINRA $109,527
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 FINRA $38,312
Prudential Equity Group, LLC Prudential Financial financial services 2004 FINRA $17,306
UBS Financial Services Inc. UBS financial services 2004 FINRA $200,666
Wachovia Securities, LLC. Wells Fargo financial services 2004 FINRA $39,486
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services 2004 FINRA $150,000
Stifel Nicolaus & Company Stifel Financial financial services 2004 FINRA $125,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services 2004 FINRA $300,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $4,950,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $5,290,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services 2004 FINRA $5,390,000
Robertson Stephens, Inc. Bank of America financial services 2004 FINRA $275,000
AXA Advisors, LLC Equitable Holdings financial services 2004 FINRA $250,000
State Street Research Investment Services, Inc. State Street Corp. financial services 2004 FINRA $1,500,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2004 FINRA $280,469
Lehman Brothers Inc. Lehman Brothers financial services 2004 FINRA $123,882
Southwest Securities, Inc. Hilltop Holdings financial services 2004 FINRA $36,971
Credit Suisse First Boston LLC Credit Suisse financial services 2004 FINRA $770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services 2004 FINRA $11,500,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2003 FINRA $2,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2003 FINRA $6,000,000
Robertson Stephens, Inc. Bank of America financial services 2003 FINRA (*) $14,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services 2002 FINRA $350,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2002 FINRA (*) $1,650,000
Goldman, Sachs & Co. Goldman Sachs financial services 2002 FINRA (*) $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services 2002 FINRA (*) $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 FINRA (*) $1,650,000
Salomon Smith Barney Morgan Stanley financial services 2002 FINRA $5,000,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services 2002 FINRA $250,000
Interactive Brokers, L.L.C. Interactive Brokers Group financial services 2002 FINRA $230,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2002 FINRA (*) $50,000,000
Knight Securities L.P. Virtu Financial financial services 2002 FINRA $1,500,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services 2001 FINRA $100,000
Prudential Securities Incorporated Wells Fargo financial services 2001 FINRA $20,000
BancBoston Robertson Stephens Bank of America financial services 2001 FINRA $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
Spear, Leeds & Kellogg Goldman Sachs financial services 2001 FINRA $10,000
E-Trade Securities Morgan Stanley financial services 2001 FINRA $90,000
Lehman Brothers, Inc. Lehman Brothers financial services 2001 FINRA $65,000
Banc of America Securities LLC Bank of America financial services 2001 FINRA $40,000
Credit Suisse First Boston Corporation Credit Suisse financial services 2001 FINRA $25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2001 FINRA $15,000
Chase Securities, Inc. JPMorgan Chase financial services 2001 FINRA $10,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2001 FINRA $2,300,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services 2001 FINRA $225,000
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.