Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
Number of Penalty Records: 
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
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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services 2019 SEC $8,014,000
Wells Fargo Securities Wells Fargo financial services 2019 SEC $812,500
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
BB&T Securities Truist Financial financial services 2019 SEC $5,709,753
Woodbridge Group of Companies LLC   2019 SEC $892,000
Talimco, LLC   2019 SEC $399,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services 2019 SEC $17,363,847
RBC Capital Markets, LLC Royal Bank of Canada financial services 2019 SEC $11,715,395
Deutsche Bank Securities Inc. Deutsche Bank financial services 2019 SEC $2,971,462
Stephens Inc.   2019 SEC $5,489,119
Select Money Management, Inc.   2019 SEC $61,558
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors)   2019 SEC $43,034
M Holdings Securities, Inc.   2019 SEC $1,022,048
First Republic Investment Management, Inc. First Republic Bank financial services 2019 SEC $1,005,194
D.A. Davidson & Co.   2019 SEC $654,276
Trustcore Financial Services, LLC   2019 SEC $422,261
Stifel and Nicolaus & Company, Incorporated Stifel Financial financial services 2019 SEC $6,037,175
Spire Wealth Mangement, LLC   2019 SEC $594,072
Lockwood Advisors, Inc.   2019 SEC $52,187
Kestra Private Wealth Services, LLC   2019 SEC $549,003
Kestra Advisory Services, LLC   2019 SEC $6,196,279
Janney Montgomery Scott LLC Penn Mutual financial services 2019 SEC $241,227
Hazlett and Burt & Watson, Inc.   2019 SEC $123,456
Coastal Investment Advisors, Inc.   2019 SEC $76,144
Syndicated Capital, Inc.   2019 SEC $38,991
Sorrento Pacific Financial, LLC Atria Wealth Solutions financial services 2019 SEC $49,162
Silversage Advisors   2019 SEC $342,062
Private Portfolio, Inc.   2019 SEC $43,061
PlanMember Securities Corporation   2019 SEC $3,550,660
CUSO Financial Services, L.P. Atria Wealth Solutions financial services 2019 SEC $296,750
AXA Advisors, LLC Equitable Holdings financial services 2019 SEC $1,134,152
Woodbury Financial Services, Inc. Reverence Capital Partners private equity (including portfolio companies) 2019 SEC $1,171,028
Popular Securities, LLC   2019 SEC $544,577
NBC Securities, Inc.   2019 SEC $426,119
Kovack Advisors, Inc.   2019 SEC $898,781
Calton & Associates, Inc.   2019 SEC $305,044
Benchmark Capital Advisors LLC   2019 SEC $45,182
Summit Financial Group, Inc.   2019 SEC $1,032,702
Northeast Asset Management, LLC   2019 SEC $150,982
EFG Asset Management (Americas) Corp.   2019 SEC $62,505
BB&T Securities, LLC Truist Financial financial services 2019 SEC $376,059
Provise Management Group, LLC   2019 SEC $297,423
Next Financial Group, Inc. Atria Wealth Solutions financial services 2019 SEC $1,405,349
MIAI, Inc.   2019 SEC $488,579
First Kentucky Securities Corporation   2019 SEC $132,651
Bok Financial Securities, Inc. BOK Financial financial services 2019 SEC $197,801
Client One Securities, LLC   2019 SEC $35,275
National Asset Management, Inc.   2019 SEC $733,423
Investment Research Corp   2019 SEC $33,188
First National Capital Markets, Inc.   2019 SEC $138,117
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services 2019 SEC $3,389,174
Principal Securities, Inc. Principal Financial financial services 2019 SEC $1,764,624
Lasalle St. Investment Advisors, L.L.C.   2019 SEC $458,082
L.M. Kohn & Company   2019 SEC $586,882
Benjamin F. Edwards & Co., Inc.   2019 SEC $3,445,264
Transamerica Financial Advisors, Inc. Aegon financial services 2019 SEC $6,023,072
The Huntington Investment Company   2019 SEC $207,946
Robert W. Baird & Co. Incorporated   2019 SEC $4,149,167
Questar Asset Management, Inc.   2019 SEC $527,566
J.J.B. Hilliard and W.L. Lyons, LLC   2019 SEC $925,023
Hefren-Tilotson, Inc.   2019 SEC $371,697
Financial Management Strategies, Inc.   2019 SEC $185,083
Comerica Securities, Inc. Comerica financial services 2019 SEC $186,377
Cambridge Investment Research Advisors, Inc.   2019 SEC $6,187,562
Blyth & Associates, Inc.   2019 SEC $103,071
Santander Securities LLC Banco Santander financial services 2019 SEC $270,539
Ryan Financial Advisors, Inc.   2019 SEC $258,670
Park Avenue Securities LLC   2019 SEC $564,267
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc. Oppenheimer Holdings financial services 2019 SEC $3,528,377
LPL Financial LLC LPL Financial financial services 2019 SEC $9,333,516
Investmark Advisory Group LLC   2019 SEC $103,107
Investacorp Advisory Services, Inc.   2019 SEC $481,608
Infinex Investments, Inc.   2019 SEC $978,698
Commonwealth Equity Services, LLC   2019 SEC $1,637,303
Cantella & Co., Inc.   2019 SEC $919,597
Beacon Investment Management LLC   2019 SEC $165,848
TIAA-CREF Individual & Institutional Services, LLC TIAA financial services 2019 SEC $2,395,722
SSN Advisory, Inc.   2019 SEC $1,666,950
SA Stone Investment Advisors Inc.   2019 SEC $687,374
Raymond James Financial Services Advisors, Inc. Raymond James Financial financial services 2019 SEC $6,877,048
ProEquities, Inc. Dai-ichi Life financial services 2019 SEC $1,852,383
First Citizens Investor Services, Inc.   2019 SEC $402,665
First Citizens Asset Management, Inc.   2019 SEC $62,418
DLL CPAS, LLC   2019 SEC $51,387
Katz, Sapper & Miller, LLP   2019 SEC $101,834
Spark Trading Group LLC   2019 SEC $694,915
Blackbox Pulse, LLC   2019 CFTC $2,712,807
Mark Olsen Mining Company   2019 CFTC $3,631,280
Apuro Holdings Ltd et al.   2019 CFTC $2,243,344
Deer Park Road Management Company LP   2019 SEC $5,000,000
Wilson-Davis & Co., Inc.   2019 SEC $300,000
Corinthian Capital Group, LLC   2019 SEC $100,000
GT Advanced Technologies Inc.   2019 SEC $140,000
Deutsche Bank Trust Company Americas Deutsche Bank financial services 2019 SEC $500,000
Charter Capital Management, LLC   2019 SEC $40,000
ZBS Group LLP   2019 SEC $48,461
Clear Scope Advisors, Inc.   2019 SEC $25,678
Mutual Coin Fund LLC   2019 SEC $10,000
Sweetwater Investments, Inc.   2019 SEC $1,164,747
Tiber Creek Corp.   2019 SEC $209,797
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.