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
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
Lansing Trade Group, LLC Lansing Trade Group financial services 2018 CFTC $3,400,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 SEC $1,500,000
Lehman Brothers, Inc. Lehman Brothers financial services 2003 SEC $2,500,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 SEC $80,000,000
Lehman Brothers Inc. Lehman Brothers financial services 2000 SEC $4,950,000
Lehman Brothers Inc. Lehman Brothers financial services 2002 MULTI-AG (*) $80,000,000
Lehman Brothers, Inc. Lehman Brothers financial services 2014 WA-AG $31,300,000
Lehman Brothers Inc. Lehman Brothers financial services 2006 TX-SEC $15,000
Lehman Brothers Inc. Lehman Brothers financial services 2003 MULTI-FIN (*) $25,000,000
Lehman Brothers, Inc. Lehman Brothers financial services 2008 FINRA $200,000
Lehman Brothers Inc. Lehman Brothers financial services 2004 FINRA $123,882
Lehman Brothers, Inc. Lehman Brothers financial services 2001 FINRA $65,000
LendingClub Asset Management LLC LendingClub Corp. financial services 2018 SEC $5,000,000
LendingClub Corp. LendingClub Corp. financial services 2015 CA-DFPI $46,000
LendingClub Corp. LendingClub Corp. financial services 2012 FL-OFR $100,000
LendingClub Corporation LendingClub Corp. financial services 2013 ME-SEC $45,000
LendingClub Corp. LendingClub Corp. financial services 2012 MO-SEC $105,000
LendingClub Corporation LendingClub Corp. financial services 2015 SC-SEC $150,000
LendingClub Corporation LendingClub Corp. financial services 2020 TX-SEC $400,000
Lincoln Financial Advisors Corp. Lincoln National financial services 2013 MA-SEC $100,000
Lincoln Financial Advisors Corp. Lincoln National financial services 2007 RI-FIN $5,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 TX-SEC $40,000
JEFFERSON PILOT SECURITIES Lincoln National financial services 2003 VA-SEC $26,500
LINCOLN FINANCIAL SECURITIES Lincoln National financial services 2018 VA-SEC $20,000
Lincoln Financial Securities Corporation Lincoln National financial services 2010 VT-FIN $10,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services 2011 FINRA $600,000
Lincoln Financial Advisors Corporation Lincoln National financial services 2005 FINRA $950,000
Jefferson Pilot Variable Corporation Lincoln National financial services 2005 FINRA $688,697
Jefferson Pilot Securities Corporation Lincoln National financial services 2004 FINRA $125,000
LPL Financial Corporation LPL Financial financial services 2008 SEC $275,000
LPL Financial LLC LPL Financial financial services 2019 SEC $9,333,516
LPL Financial LLC LPL Financial financial services 2019 MULTI-AG $25,848,000
LPL Financial, LLC LPL Financial financial services 2017 NJ-AG $975,000
LPL Financial LLC LPL Financial financial services 2019 AK-DBS $499,000
LPL Financial LLC LPL Financial financial services 2018 AL-SEC $80,000
LPL Financial LLC LPL Financial financial services 2019 AR-SEC $40,000
LPL Financial LLC LPL Financial financial services 2015 DE-SEC $200,000
LPL Financial Corp. LPL Financial financial services 2010 IL-SEC $300,000
LPL Financial, LLC LPL Financial financial services 2011 IL-SEC $250,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $2,000,000
LPL Financial, LLC LPL Financial financial services 2014 IL-SEC $815,218
LPL Financial, LLC LPL Financial financial services 2013 IN-SEC $14,000
LPL Financial, LLC LPL Financial financial services 2018 IN-SEC $450,000
LPL Financial LLC LPL Financial financial services 2013 MA-SEC $500,000
LPL Financial LLC LPL Financial financial services 2015 MA-SEC $250,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $975,000
LPL Financial LLC LPL Financial financial services 2017 MA-SEC $1,000,000
LPL Financial LLC LPL Financial financial services 2019 MA-SEC $1,100,000
LPL Financial LLC LPL Financial financial services 2019 MD-SEC $499,000
Investment Centers of America, Inc. LPL Financial financial services 2007 MO-SEC $1,031,618
LPL Financial Corp. LPL Financial financial services 2010 MO-SEC $37,540
LPL Financial LLC LPL Financial financial services 2013 MO-SEC $185,000
LPL Financial LLC LPL Financial financial services 2018 MS-SEC $40,000
LPL Financial Corp. LPL Financial financial services 2009 MT-SEC $1,294,416
LPL Financial LLC LPL Financial financial services 2012 MT-SEC $30,500
Investment Centers of America Inc. LPL Financial financial services 2006 ND-SEC $6,000
LPL Financial, LLC LPL Financial financial services 2015 NH-BSR $750,000
LPL Financial LLC LPL Financial financial services 2011 OR-FIN $100,000
LPL Financial LLC LPL Financial financial services 2019 SC-SEC $40,000
LPL Financial Corporation LPL Financial financial services 2008 TX-SEC $5,000
LPL Financial LLC LPL Financial financial services 2016 TX-SEC $95,000
LPL Financial LLC LPL Financial financial services 2015 MULTI-FIN $1,425,000
LPL Financial LLC LPL Financial financial services 2018 MULTI-FIN $26,000,000
UVEST Financial Services Group, Inc. LPL Financial financial services 2013 MULTI-FIN $750,000
LPL Financial LLC LPL Financial financial services 2020 NH-BSR $976,000
LPL Financial LLC LPL Financial financial services 2019 FINRA $280,000
LPL Financial, LLC LPL Financial financial services 2018 FINRA $2,750,000
LPL Financial LLC LPL Financial financial services 2016 FINRA $750,000
LPL Financial LLC LPL Financial financial services 2015 FINRA $6,300,000
LPL Financial LLC LPL Financial financial services 2015 FINRA $11,700,000
LPL Financial LLC LPL Financial financial services 2014 FINRA $950,000
LPL Financial LLC LPL Financial financial services 2013 FINRA $9,000,000
Investment Centers of America, Inc. LPL Financial financial services 2005 FINRA $363,500
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 DOJ_CRIMINAL $27,000,000
Lumber Liquidators Holdings Inc. Lumber Liquidators Inc. housewares and home furnishings 2019 SEC $6,000,000
Wilmington Trust Company M&T Bank financial services 2004 SEC $125,000
Wilmington Trust Company M&T Bank financial services 2007 SEC $100,000
Wilmington Trust Co. M&T Bank financial services 2005 DE-SEC $50,000
M&T Securities, Inc. M&T Bank financial services 2009 FINRA $200,000
MacAndrews & Forbes Holdings Inc MacAndrews & Forbes diversified 2013 DOJ_ANTITRUST $720,000
MacAndrews & Forbes MacAndrews & Forbes diversified 2013 FTC $720,000
Revlon MacAndrews & Forbes diversified 2013 SEC $850,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 SEC $15,000,000
Macquarie Futures USA LLC Macquarie financial services 2013 CFTC $150,000
Macquarie Capital Investment Management LLC, et al Macquarie financial services 2015 SEC $120,000
Waddell & Reed, Inc. Macquarie financial services 2006 SEC $50,000,000
Waddell & Reed, Inc. Macquarie financial services 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Macquarie financial services 2003 FL-OFR $8,800
Waddell & Reed, Inc. Macquarie financial services 2006 MO-SEC $172,161
Waddell & Reed, Inc. Macquarie financial services 2005 MT-SEC $25,000
Waddell & Reed, Inc. Macquarie financial services 2016 NH-BSR $900,000
Waddell & Reed Inc. Macquarie financial services 2008 OK-SEC $10,000
Waddell & Reed, Inc. Macquarie financial services 2005 MULTI-FIN $18,000,000
Macquarie Capital (USA) Inc. Macquarie financial services 2015 FINRA $2,950,000
Waddell & Reed, Inc. Macquarie financial services 2005 FINRA (*) $16,000,000
Manulife Financial Corporation Manulife Financial financial services 2004 DOJ_ANTITRUST $1,000,000
John Hancock Investment Management Services, LLC Manulife Financial financial services 2007 SEC $19,787,879
John Hancock Life Insurance Co. Manulife Financial financial services 2014 MA-AG $550,000
Starwood Hotel & Resorts Worldwide, Inc. Marriott International hotels 2014 SEC $75,000
Marsh and McLennan Marsh & McLennan financial services 2009 MULTI-AG $400,000,000
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.