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 Industrysort icon Year Agency Penalty Amount
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services 2014 FINRA $800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $32,400,000
Barclays Capital Inc. Barclays financial services 2014 FINRA $1,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2014 FINRA $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2014 FINRA $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2014 FINRA $5,000,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services 2014 FINRA $500,000
LPL Financial LLC LPL Financial financial services 2014 FINRA $950,000
Citigroup Global Markets Inc. Citigroup financial services 2014 FINRA $1,097,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services 2014 FINRA $775,000
Stifel Financial Corporation Stifel Financial financial services 2014 FINRA $1,025,000
Barclays Capital Inc. Barclays financial services 2013 FINRA $3,750,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services 2013 FINRA $6,500,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services 2013 FINRA $921,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services 2013 FINRA $1,150,000
SG Americas Securities, Inc. Societe Generale financial services 2013 FINRA $675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services 2013 FINRA $1,188,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2013 FINRA $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2013 FINRA $2,000,000
LPL Financial LLC LPL Financial financial services 2013 FINRA $9,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2013 FINRA $1,373,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services 2013 FINRA $750,000
Charles Schwab & Company Charles Schwab Corp. financial services 2013 FINRA $500,000
ING Groep N.V. Voya Financial financial services 2013 FINRA $1,200,000
Citigroup Citigroup financial services 2012 FINRA $1,279,106
Goldman Sachs Goldman Sachs financial services 2012 FINRA $683,997
JP Morgan JPMorgan Chase financial services 2012 FINRA $623,376
Merrill Lynch Bank of America financial services 2012 FINRA $1,074,200
Morgan Stanley Morgan Stanley financial services 2012 FINRA $817,754
Pruco Securities, LLC Prudential Financial financial services 2012 FINRA $11,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2012 FINRA $500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2012 FINRA $2,800,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $3,500,000
Citigroup Global Markets, Inc Citigroup financial services 2012 FINRA $2,741,489
Morgan Stanley & Co., LLC Morgan Stanley financial services 2012 FINRA $2,146,431
UBS Financial Services UBS financial services 2012 FINRA $2,354,584
Wells Fargo Advisors, LLC Wells Fargo financial services 2012 FINRA $1,931,488
Goldman, Sachs & Co. Goldman Sachs financial services 2012 FINRA (*) $11,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services 2012 FINRA $1,000,000
Citigroup Global Markets, Inc. Citigroup financial services 2012 FINRA $725,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $1,750,000
Barclays Capital Inc. Barclays financial services 2011 FINRA $3,000,000
Wells Fargo Investments, LLC Wells Fargo financial services 2011 FINRA $2,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2011 FINRA $2,050,000
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services 2011 FINRA $1,371,000
UBS Securities LLC UBS financial services 2011 FINRA $12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services 2011 FINRA $1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services 2011 FINRA $2,115,000
Citigroup Global Markets, Inc. Citigroup financial services 2011 FINRA $500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services 2011 FINRA $5,000,000
Northern Trust Securities Northern Trust financial services 2011 FINRA $600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services 2011 FINRA $4,500,000
Merrill Lynch Bank of America financial services 2011 FINRA $3,000,000
Nuveen Investments, LLC TIAA financial services 2011 FINRA $3,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services 2011 FINRA $1,000,000
Santander Securities of Puerto Rico Banco Santander financial services 2011 FINRA $2,000,000
UBS Financial Services, Inc. UBS financial services 2011 FINRA $10,750,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $650,000
Southwest Securities, Inc. Hilltop Holdings financial services 2011 FINRA $500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services 2011 FINRA $600,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services 2011 FINRA $18,000,000
Goldman, Sachs & Co. Goldman Sachs financial services 2010 FINRA $650,000
Ferris, Baker Watts LLC Royal Bank of Canada financial services 2010 FINRA $690,000
Zions Direct, Inc. Zions Bancorporation financial services 2010 FINRA $225,000
HSBC Securities (USA) Inc. HSBC financial services 2010 FINRA $375,000
Merrill Lynch Bank of America financial services 2010 FINRA $2,500,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services 2010 FINRA $800,000
SunTrust Investment Services, Inc. Truist Financial financial services 2010 FINRA $1,440,000
Deutsche Bank Securities Inc. Deutsche Bank financial services 2010 FINRA $7,500,000
Citigroup Global Markets Inc. Citigroup financial services 2010 FINRA $1,500,000
Piper Jaffray & Co. Piper Sandler financial services 2010 FINRA $700,000
Deutsche Bank Securities Deutsche Bank financial services 2010 FINRA $575,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2010 FINRA $135,000
HSBC Securities (USA) HSBC financial services 2010 FINRA $1,500,000
US Bancorp Investments, Inc. U.S. Bancorp financial services 2010 FINRA $275,000
Citigroup Global Markets, Inc. Citigroup financial services 2010 FINRA $650,000
Scottrade, Inc. Charles Schwab Corp. financial services 2010 FINRA $200,000
H&R Block Financial Advisors, Inc. H&R Block financial services 2010 FINRA $200,000
MetLife Securities, Inc. MetLife financial services 2009 FINRA $1,200,000
Citigroup Global Markets Inc. Citigroup financial services 2009 FINRA $600,000
Citigroup Global Markets Citigroup financial services 2009 FINRA $425,000
UBS Securities UBS financial services 2009 FINRA $268,000
Deutsche Bank Deutsche Bank financial services 2009 FINRA $152,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services 2009 FINRA $200,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services 2009 FINRA $150,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services 2009 FINRA $275,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2009 FINRA $100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services 2009 FINRA $150,000
UBS Financial Services, Inc. UBS financial services 2009 FINRA $100,000
KeyBanc Capital Markets, Inc. KeyCorp financial services 2009 FINRA $425,000
Wells Fargo Investments, LLC Wells Fargo financial services 2009 FINRA $275,000
PNC Investments PNC Financial Services financial services 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $250,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services 2009 FINRA $1,000,000
ICAP Corporates LLC TP ICAP PLC financial services 2009 FINRA $2,800,000
Wachovia Securities, LLC Wells Fargo financial services 2009 FINRA $1,400,000
Raymond James & Associates, Inc. Raymond James Financial financial services 2009 FINRA $1,000,000
RBC Capital Markets Corporation Royal Bank of Canada financial services 2009 FINRA $400,000
M&T Securities, Inc. M&T Bank financial services 2009 FINRA $200,000
Janney Montgomery Scott LLC Penn Mutual financial services 2009 FINRA $200,000
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.