Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
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
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
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
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
Lansing Trade Group, LLC Lansing Trade Group financial services 2018 CFTC $3,400,000
Kohlberg Kravis Roberts & Co. KKR & Co. private equity (including portfolio companies) 2015 SEC $30,000,000
Keybanc Capital Markets Inc. KeyCorp financial services 2016 SEC $440,000
KeyBanc Capital Markets, Inc. KeyCorp financial services 2009 FINRA $425,000
Kemper Distributors, Inc. Kemper financial services 2000 FINRA $100,000
KBR, Inc. KBR construction and engineering 2015 SEC $130,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 SEC $4,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2015 SEC $267,000,000
JPMorgan Chase JPMorgan Chase financial services 2013 CFTC $100,000,000
JPMorgan Chase Bank JPMorgan Chase financial services 2012 CFTC $600,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2012 CFTC $140,000
J.P. Morgan Investment Management Inc. JPMorgan Chase financial services 2015 SEC $1,084,210
J.P. Morgan Securities LLC JPMorgan Chase financial services 2015 SEC $500,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 SEC $54,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services 2006 SEC $1,500,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2006 SEC $250,000,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 SEC $50,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $25,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 SEC $80,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 CFTC $900,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 SEC $1,998,143
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2005 SEC $700,000
JPMorgan Chase Bank N.A. JPMorgan Chase financial services 2018 SEC $135,100,000
Banc One Investment Advisors Corporation JPMorgan Chase financial services 2004 NY-AG (*) $90,000,000
Bear Stearns JPMorgan Chase financial services 2012 MI-AG $275,000,000
Bear Stearns & Co. LLC JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
J.P. Morgan Chase & Co. JPMorgan Chase financial services 2002 MULTI-AG (*) $80,000,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 DE-AG $51,400
J.P. Morgan Securities LLC JPMorgan Chase financial services 2010 FL-AG $25,000,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 NJ-AG $50,460
JP Morgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-AG $3,525,000,000
JPMorgan Chase JPMorgan Chase financial services 2015 MULTI-AG $150,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2010 NJ-AG $1,149,028
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $1,822,438
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2014 AK-DBS $51,120
J.P. Morgan Securities LLC JPMorgan Chase financial services 2014 CT-SEC $53,800
J.P. Morgan Securities LLC JPMorgan Chase financial services 2018 DC-DISB $5,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services 2005 IL-SEC $10,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2016 IN-SEC $905,000
JPMorgan Chase Bank, N.A. and J.P. Morgan Securities LLC JPMorgan Chase financial services 2016 IN-SEC $950,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 KY-FIN $325,000
JPMorgan Chase Bank, N.A. JPMorgan Chase financial services 2017 MD-SEC $100,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
J.P. Morgan Securities JPMorgan Chase financial services 2014 MULTI-FIN $2,800,000
J.P. Morgan Securities Inc. JPMorgan Chase financial services 2003 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Co. JPMorgan Chase financial services 2008 MULTI-FIN (*) $25,000,000
JPMorgan Chase & Company JPMorgan Chase financial services 2020 CFTC $920,200,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2020 SEC $35,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2019 FINRA $1,100,000
J.P. Morgan Securities JPMorgan Chase financial services 2017 FINRA $2,800,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services 2017 FINRA $1,250,000
J.P. Morgan Securities LLC JPMorgan Chase financial services 2017 FINRA $800,000
JP Morgan Securities LLC JPMorgan Chase financial services 2014 FINRA $5,000,000
JP Morgan JPMorgan Chase financial services 2012 FINRA $623,376
Chase Investment Services Corporation JPMorgan Chase financial services 2011 FINRA $3,600,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $250,000
Chase Investment Services Corp. JPMorgan Chase financial services 2009 FINRA $32,500
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.