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
Piper Jaffray & Co. Piper Sandler financial services 2005 FINRA $275,000
Piper Jaffray & Co. Piper Sandler financial services 2004 FINRA $2,400,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services 2002 FINRA (*) $1,650,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services 2002 FINRA $250,000
Piper Jaffray Inc. Piper Sandler financial services 2000 FINRA $933,000
Janney Montgomery Scott LLC Penn Mutual financial services 2011 SEC $850,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 SEC $875,000
Janney Montgomery Scott LLC Penn Mutual financial services 2016 SEC $500,000
Janney Montgomery Scott LLC Penn Mutual financial services 2000 SEC $100,000
Janney Montgomery Scott LLC Penn Mutual financial services 2019 SEC $241,227
Janney Montgomery Scott LLC Penn Mutual financial services 2005 CO-SEC $259,227
Janney Montgomery Scott, Inc. Penn Mutual financial services 2001 DE-SEC $210,909
Janney Montgomery Scott LLC Penn Mutual financial services 2015 DE-SEC $105,000
Janney Montgomery Scott LLC Penn Mutual financial services 2004 IL-SEC $5,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 IL-SEC $7,500
Janney Montgomery Scott LLC Penn Mutual financial services 2016 PA-BKG $10,000
Janney Montgomery Scott LLC Penn Mutual financial services 2006 RI-FIN $10,250
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-BKG $150,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2015 FINRA $1,200,000
Janney Montgomery Scott LLC Penn Mutual financial services 2009 FINRA $200,000
Janney Montgomery Scott LLC Penn Mutual financial services 2005 FINRA $2,200,000
Janney Montgomery Scott, LLC Penn Mutual financial services 2020 CT-SEC $250,000
Paycom Software, Inc. Paycom Software information technology 2021 SEC $250,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 SEC $400,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2014 SEC $61,200
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 SEC $2,886,677
Oppenheimer & Co. Inc Oppenheimer Holdings financial services 2009 SEC $850,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2002 SEC $75,000
Fahnestock & Co., Inc. Oppenheimer Holdings financial services 2000 SEC $20,000
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings financial services 2019 SEC $3,528,377
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2010 MULTI-AG $31,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC Oppenheimer Holdings financial services 2013 MA-AG (*) $2,800,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2015 DE-SEC $685,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 MI-SEC $900,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2005 MO-SEC $122,050
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2012 NH-BSR $155,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2015 NM-SEC $215,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 SC-SEC $175,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2019 FINRA $4,600,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $3,425,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2016 FINRA $2,966,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2015 FINRA $3,750,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2013 FINRA $921,000
Oppenheimer & Co. Oppenheimer Holdings financial services 2008 FINRA $4,500,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2007 FINRA $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services 2006 FINRA $250,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services 2001 FINRA $2,300,000
Omega Advisors, Inc. Omega Advisors financial services 2015 SEC $134,026
Olam International Ltd. and Olam Americas Inc. Olam International agribusiness 2015 CFTC $3,000,000
Olam International Limited Olam International agribusiness 2004 CFTC $20,000
Office Depot, Inc. Office Depot retailing 2010 SEC $1,000,000
Oaktree Capital Management, LLC Oaktree Capital Management private equity (including portfolio companies) 2005 SEC $345,701
Oaktree Capital Management, L.P. Oaktree Capital Management private equity (including portfolio companies) 2018 SEC $100,000
Nu Skin Enterprises, Inc. Nu Skin Enterprises household and personal care products 2016 SEC $765,688
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services 2009 FINRA $200,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services 2007 FINRA $100,000
The Northern Trust Company Northern Trust financial services 2015 SEC $60,000
Northern Trust Company Northern Trust financial services 2019 CFTC $1,000,000
Northern Trust Hedge Fund Services LLC Northern Trust financial services 2020 SEC $167,629
Northern Trust Securities Northern Trust financial services 2011 FINRA $600,000
Nordstrom Nordstrom I, Inc. and Nordstrom Imports, Inc. Nordstrom retailing 2014 AZ-SEC $2,263,142
Nomura Securities International Inc. Nomura financial services 2019 SEC $26,400,000
New York Life Investment Management LLC New York Life Insurance financial services 2009 SEC $6,100,784
NYLIFE Securities, LLC New York Life Insurance financial services 2017 IN-SEC $275,000
NYLIFE Securities LLC New York Life Insurance financial services 2019 ME-SEC $50,000
NYLIFE Securities LLC New York Life Insurance financial services 2017 NH-BSR $7,500
NYLIFE Securities LLC New York Life Insurance financial services 2007 FINRA $354,000
NYLife Securities, Inc. New York Life Insurance financial services 2004 FINRA $350,000
New Day Financial, LLC d/b/a NewDay USA New Day Financial LLC financial services 2015 MULTI-FIN $5,160,000
Royal Bank of Scotland Group plc NatWest Group PLC financial services 2014 SEC $120,000
NatWest Markets Plc NatWest Group PLC financial services 2018 CFTC $750,000
NatWest Markets Plc NatWest Group PLC financial services 2019 CFTC $850,000
CCO Investment Services Corp. NatWest Group PLC financial services 2007 NH-BSR $375,000
RBS Securities, Inc. NatWest Group PLC financial services 2016 FINRA $2,000,000
CCO Investment Services Corp. NatWest Group PLC financial services 2006 FINRA $850,000
Natixis Securities Americas LLC Natixis financial services 2018 SEC $1,250,000
Nationwide Life Insurance Company Nationwide financial services 2015 SEC $8,000,000
National Beverage Corp. National Beverage Corp. beverages 2021 SEC $481,920
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC Nasdaq Inc. financial services 2013 SEC $10,000,000
Brut, LLC Nasdaq Inc. financial services 2003 SEC $45,000
BRUT LLC Nasdaq Inc. financial services 2006 FINRA $2,200,000
Morningstar Credit Ratings, LLC Morningstar Inc. miscellaneous services 2020 SEC $3,500,000
Morgan Stanley Investment Management Morgan Stanley financial services 2015 SEC $8,800,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2014 SEC $4,000,000
Morgan Stanley Investment Management Morgan Stanley financial services 2011 SEC $3,300,000
Morgan Stanley Morgan Stanley financial services 2015 CFTC $300,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $280,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2014 CFTC $490,000
Morgan Stanley Capital Group Morgan Stanley financial services 2014 CFTC $200,000
Morgan Stanley Smith Barney Morgan Stanley financial services 2012 CFTC $200,000
Morgan Stanley Morgan Stanley financial services 2012 CFTC $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2016 SEC $1,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services 2015 SEC $500,000
E*TRADE Securities Morgan Stanley financial services 2014 SEC $2,500,000
Morgan Stanley Morgan Stanley financial services 2009 SEC $500,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services 2007 SEC $7,957,200
Morgan Stanley & Co. Morgan Stanley financial services 2006 SEC $10,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc. Morgan Stanley financial services 2006 SEC $1,500,000
Morgan Stanley & Co. Morgan Stanley financial services 2005 SEC $40,000,000
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.