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
RBC Capital Markets, LLC Royal Bank of Canada financial services 2015 SEC $500,000
RBC Dain Rauscher Inc Royal Bank of Canada financial services 2006 SEC $1,500,000
Dain Rauscher Incorporated Royal Bank of Canada financial services 2000 SEC $12,941,191
RBC Capital Markets LLC Royal Bank of Canada financial services 2016 SEC $2,500,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 SEC $125,000
Ferris, Baker Watts, Inc. Royal Bank of Canada financial services 2009 SEC $800,656
RBC Dain Rauscher Incorporated Royal Bank of Canada financial services 2002 SEC $500,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
RBC Capital Markets Corp. Royal Bank of Canada financial services 2010 NJ-AG $51,724
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-AG $859,800,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 NJ-AG $450,000
Royal Bank of Canada Royal Bank of Canada financial services 2009 DE-AG $22,156
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 CFTC $5,000,000
RBC Capital Markets LLC Royal Bank of Canada financial services 2020 SEC $3,889,007
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 AK-DBS $44,370
RBC Capital Markets, LLC Royal Bank of Canada financial services 2013 CA-DFPI $33,520
RBC Capital Markets, LLC Royal Bank of Canada financial services 2012 MA-SEC $250,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2012 MT-SEC $186,439
RBC Capital Markets Corporation Royal Bank of Canada financial services 2008 MULTI-FIN (*) $9,800,000
RBC Capital Markets, LLC Royal Bank of Canada financial services 2014 MULTI-FIN $2,800,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services 2016 FINRA $3,500,000
RBC Capital Markets Royal Bank of Canada financial services 2015 FINRA $1,434,000
Ferris, Baker Watts LLC Royal Bank of Canada financial services 2010 FINRA $690,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2010 FINRA $135,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 FINRA $400,000
RBC Capital Markets Corp. Royal Bank of Canada financial services 2008 FINRA $150,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services 2006 FINRA $250,000
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
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2005 FINRA $1,700,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services 2004 FINRA $150,000
CRITTER CONTROL INC. Rollins Inc. miscellaneous services 2018 VA-SEC $23,500
Riverstone Holdings LLC Riverstone Holdings private equity (including portfolio companies) 2009 NY-AG $30,000,000
Ribbon Communications Inc. (fka Sonus Networks) Ribbon Communications telecommunications 2018 SEC $1,900,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $9,500,000
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SEC $552,086
Ladenburg Thalmann Asset Management Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 SEC $200,000
Securities America Advisors Inc. Reverence Capital Partners private equity (including portfolio companies) 2018 SEC $5,828,448
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $500,001
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 SEC $65,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 AZ-SEC $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 CT-SEC $500,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2002 FL-OFR $14,938
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 IL-SEC $10,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $150,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $25,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 MO-SEC $6,000
Sagepoint Financial, Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MO-SEC $816,000
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2014 MO-SEC $2,070,000
American General Securities Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MS-SEC $215,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 MT-SEC $5,000
KMS Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2010 MT-SEC $1,025,722
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 MT-SEC $115,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 NE-DBF $40,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NH-BSR $190,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 NJ-BOS $250,000
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 OR-FIN $100,000
SagePoint Financial Inc. Reverence Capital Partners private equity (including portfolio companies) 2017 SC-SEC $40,000
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
American General Securities Incorporated Reverence Capital Partners private equity (including portfolio companies) 2010 MULTI-FIN $215,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $502,400
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $603,776
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 FINRA $752,686
Securities America Reverence Capital Partners private equity (including portfolio companies) 2014 FINRA $625,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 FINRA $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 FINRA $55,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 FINRA $322,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $16,300,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $1,100,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $6,600,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $2,400,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $1,200,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
Regions Bank Regions Financial financial services 2010 SEC $1,000,001
Regions Bank Regions Financial financial services 2009 SEC $1,000,000
AmSouth Bank Regions Financial financial services 2008 SEC $11,400,000
AmSouth Investment Services, Inc. Regions Financial financial services 2004 MS-SEC $225,000
AmSouth Investment Services Inc. Regions Financial financial services 2004 MULTI-FIN $225,000
Baton Holdings LLC Red Ventures business services 2019 DOJ_CRIMINAL $28,000,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 SEC $500,000
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2006 SEC $125,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2004 SEC $875,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2004 SEC $2,595,129
Raymond James & Associates Raymond James Financial financial services 2016 SEC $600,000
Morgan Keegan & Co., Inc. Raymond James Financial financial services 2006 SEC $558,806
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 NJ-AG $35,000
Raymond James & Associates, Inc. et al. Raymond James Financial financial services 2019 SEC $15,000,000
Morgan Keegan & Co. Raymond James Financial financial services 2005 AL-SEC $100,000
Morgan Keegan & Co. Raymond James Financial financial services 2010 AL-SEC $15,000
Morgan Keegan & Co. Raymond James Financial financial services 2017 AL-SEC $20,000
Morgan Keegan & Co. Raymond James Financial financial services 2012 AR-SEC $59,659
Raymond James Financial Services, Inc. Raymond James Financial financial services 2010 CT-SEC $15,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2015 IN-SEC $475,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2020 MI-SEC $50,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2009 MO-SEC $52,300
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2016 MO-SEC $850,000
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.