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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
City Securities Corporation   2009 FINRA $250,000
Legacy Trading Co., LLC   2009 FINRA $1,007,035
IFMG Securities   2009 FINRA $450,000
Mutual Service Corporation   2009 FINRA $1,500,000
RD Capital Group   2009 FINRA $1,000,000
NatCity Investments, Inc.   2009 FINRA $300,000
M&I Financial Advisors, Inc.   2009 FINRA $150,000
Centaurus Financial, Inc.   2009 FINRA $175,000
J.J.B. Hilliard, W.L. Lyons Inc.   2009 FINRA $500,000
Multi-Financial Securities Corporation   2009 FINRA $150,000
H. Beck, Inc.   2009 FINRA $140,000
SWS Financial Services   2009 FINRA $70,000
Leonard & Company   2009 FINRA $60,000
SIGMA Financial Corporation   2009 FINRA $50,000
Intersecurities, Inc.   2009 FINRA $50,000
Fox & Company Investments Inc.   2009 FINRA $45,000
vFinance Investments, Inc.   2009 FINRA $27,500
Investors Capital Corp.   2009 FINRA $25,000
National Securities Corporation   2009 FINRA $25,000
Gary Goldberg & Co., Inc   2009 FINRA $19,500
FSC Securities Corporation   2009 FINRA $15,000
Lincoln Investment Planning, Inc.   2009 FINRA $15,000
Spelman & Co.   2009 FINRA $10,000
Stephen L. Falk & Associates, Inc.   2009 FINRA $7,500
First Midwest Securities, Inc.   2009 FINRA $7,000
GunnAllen Financial, Inc.   2009 FINRA $6,000
Advantage Capital Corporation   2009 FINRA $5,000
Financial West Group   2009 FINRA $5,000
First New York Securities L.L.C.   2009 FINRA $341,000
Robert W. Baird & Co.   2009 FINRA $934,510
Leonard & Co.   2009 FINRA $225,000
J.P. Turner & Company, LLC   2008 FINRA $250,000
City National Securities   2008 FINRA $315,000
Harris Investor Services, Inc.   2008 FINRA $150,000
Banorte Securities International, Ltd.   2008 FINRA $1,100,000
First Southwest Company   2008 FINRA $300,000
WaMu Investments, Inc.   2008 FINRA $250,000
GunnAllen Financial, Inc.   2008 FINRA $750,000
American Fund Distributors   2008 FINRA $5,000,000
SMH Capital Inc.   2008 FINRA $450,000
Broadpoint Capital, Inc.   2008 FINRA $200,000
Needham & Company, LLC   2008 FINRA $200,000
Robert W. Baird & Co., Inc.   2008 FINRA $200,000
Cowen and Company, LLC   2008 FINRA $150,000
Leerink Swann & Company, Inc.   2008 FINRA $150,000
JMP Securities, LLC   2008 FINRA $50,000
Pacific Crest Securities, Inc.   2008 FINRA $50,000
Rafferty Capital Markets, LLC   2007 FINRA $409,605
MML Investors Services, Inc.   2007 FINRA $473,000
Scudder Distributors, Inc.   2007 FINRA $425,000
USAllianz Securities   2006 FINRA $5,000,000
EKN Financial Services Inc.   2006 FINRA $200,000
McLaughlin, Piven and Vogel Securities Inc.   2006 FINRA $50,000
American Funds Distributors Inc.   2006 FINRA $5,000,000
Trillium Trading LLC   2006 FINRA $225,000
Schonfeld & Company LLC   2006 FINRA $175,000
LaSalle Street Securities, Inc.   2006 FINRA $200,000
Boston Capital Securities, Inc.   2006 FINRA $1,200,000
David Lerner Associates, Inc.   2006 FINRA $400,000
Diversified Investors Securities Corp.   2006 FINRA $2,250,000
Berean Capital Incorporated   2006 FINRA $100,000
Linsco/Private Ledger Corporation   2005 FINRA $2,400,000
First Avantus Securities, Inc.   2005 FINRA $100,000
National Securities Corporation   2005 FINRA $85,000
First Clearing Corporation   2005 FINRA $110,000
DebtTraders, Inc.   2005 FINRA $120,000
Green Street Advisors   2005 FINRA $150,000
Instinet, LLC and INET ATS, Inc.   2005 FINRA $1,475,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   2005 FINRA $1,520,000
Commonwealth Financial Network   2005 FINRA $1,400,000
National Planning Corporation Inc.   2005 FINRA $1,308,000
Mutual Service Corporation   2005 FINRA $1,300,000
SII Investments, Inc.   2005 FINRA $658,500
Lord Abbett Distributor, LLC   2005 FINRA $255,000
First Allied Securities, Inc.   2005 FINRA $734,500
David Lerner Associates, Inc.   2005 FINRA $115,000
Hantz Financial Services, Inc.   2005 FINRA $675,000
Hornor, Townsend & Kent, Inc.   2005 FINRA $325,000
Stephens, Inc.   2005 FINRA $110,000
Stone & Youngberg, LLC   2005 FINRA $110,000
Brinker Capital Securities, Inc.   2005 FINRA $60,000
Emmet & Co., Inc.   2005 FINRA $40,000
Loop Capital Markets, LLC   2005 FINRA $40,000
Popular Securities, Inc.   2005 FINRA $40,000
BOSC, Inc.   2005 FINRA $30,000
Pershing LLC   2005 FINRA $30,000
Prager, Sealy & Co., LLC   2005 FINRA $30,000
Tejas Securities Group, Inc.   2005 FINRA $10,000
H.D. Vest Investment Services   2005 FINRA $4,015,000
Linsco/Private Ledger Corp.   2005 FINRA $3,602,398
FSC Securities Corp.   2005 FINRA $2,400,000
McDonald Investments Inc.   2005 FINRA $1,500,000
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
Advantage Capital Corp.   2005 FINRA $450,000
Advest, Inc.   2005 FINRA $286,415
Quick & Reilly, Inc.   2005 FINRA $570,000
LH Ross   2005 FINRA $11,968,000
Yankee Financial Group, Inc.   2005 FINRA $3,800,000
First Command Financial Planning Inc.   2004 FINRA $12,000,000
Sigma Financial Corporation   2004 FINRA $135,000
LINSCO/Private Ledger Corp.   2004 FINRA $450,000
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.