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 Parentsort icon Parent Major Industry Year Agency Penalty Amount
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
Morgan Keegan & Company, Inc. Raymond James Financial financial services 2007 MS-SEC $12,500
Raymond James Financial Services Inc. Raymond James Financial financial services 2017 PA-BKG $125,000
Morgan Keegan & Co. Inc. Raymond James Financial financial services 2010 RI-FIN $20,000
Raymond James and Associates Inc. Raymond James Financial financial services 2016 VT-FIN $4,200,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2007 WI-FIN $50,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2011 MULTI-FIN $1,750,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2019 FINRA $8,000,000
Raymond James Financial Services, Inc. Raymond James Financial financial services 2017 FINRA $2,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2015 FINRA $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 FINRA $2,115,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2009 FINRA $1,000,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2007 FINRA $2,750,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2005 FINRA $90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2005 FINRA $888,000
Raymond James Financial Services Inc. Raymond James Financial financial services 2004 FINRA $400,000
Raymond James & Associates Inc. Raymond James Financial financial services 2000 FINRA $3,410,000
Quantum Corporation Quantum Corp. electrical and electronic equipment 2019 SEC $1,000,000
Jackson National Life Insurance Co Prudential PLC financial services 2008 CT-AG $484,000
Prudential Equity Group LLC Prudential Financial financial services 2006 DOJ_CRIMINAL $600,000,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. Prudential Financial financial services 2004 SEC $375,000
American Skandia Investment Services, Inc. Prudential Financial financial services 2009 SEC $68,000,000
Prudential Equity Group, LLC Prudential Financial financial services 2005 SEC $125,000
Prudential Equity Group Prudential Financial financial services 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group Prudential Financial financial services 2006 NY-AG (*) $270,000,000
Prudential Financial Inc. Prudential Financial financial services 2019 SEC $32,600,000
Prudential Equity Group, Inc. Prudential Financial financial services 2005 AL-SEC $45,000
Pruco Securities, LLC Prudential Financial financial services 2017 IL-SEC $900,000
Pruco Securities, LLC Prudential Financial financial services 2006 NE-DBF $12,500
Pruco Securities, LLC Prudential Financial financial services 2013 NJ-BOS $100,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
Pruco Securities, LLC Prudential Financial financial services 2020 SEC $18,252,341
Prudential Annuities Distributors, Inc. Prudential Financial financial services 2016 FINRA $950,000
Pruco Securities, LLC Prudential Financial financial services 2012 FINRA $11,250,000
Pruco Securities Prudential Financial financial services 2008 FINRA $100,000
Prudential Equity Group LLC Prudential Financial financial services 2004 FINRA $550,000
Prudential Equity Group, LLC Prudential Financial financial services 2004 FINRA $17,306
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services 2004 FINRA $11,500,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 CT-SEC $12,602
Prosper Marketplace, Inc. Prosper Marketplace financial services 2010 CT-SEC $5,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2012 CT-SEC $40,000
Prosper Marketplace Prosper Marketplace financial services 2015 IN-SEC $13,957
Prosper Marketplace, Inc. Prosper Marketplace financial services 2009 MD-SEC $28,706
Prosper Marketplace, Inc. Prosper Marketplace financial services 2011 ME-SEC $5,000
Prosper Marketplace Inc. Prosper Marketplace financial services 2009 OR-FIN $15,000
Prosper Marketplace, Inc. Prosper Marketplace financial services 2008 MULTI-FIN $1,000,000
Claritas Investments Ltd. Principal Financial financial services 2013 SEC $144,819
Principal Securities, Inc. Principal Financial financial services 2019 SEC $1,764,624
Principal Life Insurance Company Principal Financial financial services 2004 ND-SEC $30,000
Primoris Services Corporation Primoris Services construction and engineering 2018 SEC $200,000
PricewaterhouseCoopers LLP PricewaterhouseCoopers business services 2019 SEC $7,944,055
Precigen, Inc. Precigen agribusiness 2020 SEC $2,500,000
Putnam Investment Management LLC Power Financial Corporation financial services 2004 SEC $55,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2018 SEC $1,000,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2007 SEC $350,000
Putnam Investment Management, LLC Power Financial Corporation financial services 2005 SEC $40,000,001
Putnam Retail Management Limited Partnership Power Financial Corporation financial services 2007 FINRA $175,000
PNC Capital Markets LLC PNC Financial Services financial services 2015 SEC $500,000
PNC Investments LLC PNC Financial Services financial services 2018 SEC $7,307,770
PNC Bank, National Association PNC Financial Services financial services 2019 CFTC $300,000
PNC Investments LLC PNC Financial Services financial services 2010 DE-SEC $250,000
PNC Capital Markets LLC PNC Financial Services financial services 2016 FINRA $50,000
PNC Investments PNC Financial Services financial services 2009 FINRA $250,000
Platinum Equity Advisors, LLC Platinum Equity private equity (including portfolio companies) 2017 SEC $3,402,132
Ingram Micro Inc. Platinum Equity private equity (including portfolio companies) 2009 SEC $15,000,000
BMO Capital Markets GKST Inc. Piper Sandler financial services 2015 SEC $250,000
Piper Jaffray & Co. Piper Sandler financial services 2015 SEC $500,000
Piper Jaffray & Co. Piper Sandler financial services 2006 SEC $125,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 SEC $32,500,000
Piper Jaffray & Co. Piper Sandler financial services 2013 SEC $300,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 SEC $100,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MT-SEC $2,625,000
Piper Jaffray & Co. Piper Sandler financial services 2006 MT-SEC $345,000
US Bancorp Piper Jaffray Inc. Piper Sandler financial services 2001 ND-SEC $23,250
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
Piper Jaffray & Co. Piper Sandler financial services 2006 ND-SEC $229,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 NE-DBF $5,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2003 MULTI-FIN (*) $12,500,000
Piper Jaffray & Co. Piper Sandler financial services 2010 FINRA $700,000
Piper Jaffray & Co. Piper Sandler financial services 2008 FINRA $100,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $280,000
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $275,000
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.