« Return to search form

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 Industry Yearsort icon Agency Penalty Amount
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $20,000
Piper Jaffray & Co. Piper Sandler financial services 2004 ND-SEC $17,000
Huntleigh Securities Corporation   2004 ND-SEC $8,000
Morgan Stanley Morgan Stanley financial services 2004 NH-BSR $500,000
Pennichuck Corporation   2004 NH-BSR $230,000
Sunset Financial Group Inc. et al.   2004 OK-SEC $304,664
Omni Advisor Group Inc.   2004 OR-FIN $15,000
Ragen Mackenzie Investment Services LLC Wells Fargo financial services 2004 OR-FIN $8,500
Mansfield Corporation et al.   2004 OR-FIN $120,000
Continental Broker-Dealer Corp.   2004 TN-SEC $10,000
Upper Cumberland Media Group Inc.   2004 TN-SEC $11,200
Professional Asset Management Inc.   2004 TN-SEC $22,550
InvestIN Securities Inc.   2004 TN-SEC $6,094
Woodbury Financial Services Inc. Reverence Capital Partners private equity (including portfolio companies) 2004 TX-SEC $12,500
Allied Energy Group et al.   2004 TX-SEC $8,000
Pruco Securities LLC Prudential Financial financial services 2004 TX-SEC $10,000
Milkie/Ferguson Investments Inc.   2004 TX-SEC $12,000
Flyline Management L.P.   2004 TX-SEC $16,000
Flyline Genpar L.P.   2004 TX-SEC $16,000
DRY CLEANING & MARGO SLOAN   2004 VA-SEC $25,900
MERRILL LYNCH PIERCE FENNER & Bank of America financial services 2004 VA-SEC $268,723
CHESAPEAKE INVESTMENT SERVICES INC.   2004 VA-SEC $54,000
CITIGROUP GLOBAL MARKETS INC Citigroup financial services 2004 VA-SEC $72,486
Wolf Creek Exploration, Ltd.   2004 VA-SEC $45,000
CUMBERLAND MANAGEMENT GROUP   2004 VA-SEC $170,750
City Escrow, Inc.   2004 WA-FIN $12,000
DBH Growth Fund   2004 WA-FIN $15,000
Morgan Stanley DW Inc. Morgan Stanley financial services 2004 WA-FIN $325,000
Pacific Coast Investment Company   2004 WA-FIN $108,000
Lilac City Closing & Escrow LLC   2004 WA-FIN $5,000
Northwest Best Direct, Inc.   2004 WA-FIN $39,000
Great Northern Financial Services, Inc.   2004 WA-FIN $30,000
AmSouth Investment Services Inc. Regions Financial financial services 2004 MULTI-FIN $225,000
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
First Command Financial Planning Inc.   2004 FINRA $12,000,000
Sigma Financial Corporation   2004 FINRA $135,000
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
LINSCO/Private Ledger Corp.   2004 FINRA $450,000
PFS Investments, Inc.   2004 FINRA $450,000
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
WM Financial Services, Inc.   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
J.P. Turner & Company, LLC   2004 FINRA $185,000
Financial Network Investment Corp.   2004 FINRA $185,000
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
Farmers Financial Solutions LLC   2004 FINRA $125,000
InterSecurities, Inc.   2004 FINRA $125,000
Jefferson Pilot Securities Corporation Lincoln National financial services 2004 FINRA $125,000
J.J.B. Hilliard, W.L. Lyons Inc.   2004 FINRA $125,000
Quick & Reilly, Inc.   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
Sentinel Financial Services Company   2004 FINRA $700,000
BNY Brokerage, Inc.   2004 FINRA $12,000
Carlin Equities Corporation   2004 FINRA $35,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services 2004 FINRA $50,000
Delta Asset Management Company, L.L.C.   2004 FINRA $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2004 FINRA $15,000
Doyle, Miles & Co., L.L.C.   2004 FINRA $12,500
FutureTrade Securities, L.L.C   2004 FINRA $35,000
Index Securities, LLC   2004 FINRA $11,000
Mid-Atlantic Capital Corporation   2004 FINRA $10,000
Options Trading Associates, LLC   2004 FINRA $10,000
Pulse Trading, Inc.   2004 FINRA $20,000
Quantlab Securities, L.P.   2004 FINRA $12,500
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
Transcend Capital, LP   2004 FINRA $10,000
UBS Securities, L.L.C. UBS financial services 2004 FINRA $10,000
SG Cowen, LLC Cowen Inc. financial services 2004 FINRA $800,000
National Securities Corp.   2004 FINRA $600,000
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
Miller Tabak Roberts Securities, LLC   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
First Trust Portfolios L.P   2004 FINRA $118,680
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.