Disciplinary Records by State

Compare broker-dealer firm complaint rates and regulatory actions across 56 states.

# State Total Firms Active Total Disclosures Avg/Firm Grade A Grade F
1 New York NY 868 868 7,592 8.7 513 7
2 New Jersey NJ 114 114 1,470 12.9 50 2
3 Missouri MO 36 36 1,236 34.3 9 0
4 Florida FL 251 251 1,152 4.6 152 0
5 Illinois IL 200 200 1,018 5.1 99 8
6 Texas TX 189 189 764 4.0 110 1
7 California CA 279 279 572 2.1 189 0
8 Minnesota MN 42 42 551 13.1 18 1
9 Pennsylvania PA 81 81 517 6.4 39 3
10 Connecticut CT 111 111 392 3.5 76 2
11 South Carolina SC 15 15 295 19.7 10 0
12 Massachusetts MA 98 98 280 2.9 64 0
13 North Carolina NC 55 55 235 4.3 31 0
14 Ohio OH 57 57 234 4.1 26 0
15 Rhode Island RI 7 7 219 31.3 1 0
16 Georgia GA 58 58 150 2.6 38 0
17 Arizona AZ 25 25 148 5.9 17 1
18 Tennessee TN 42 42 137 3.3 23 0
19 Wisconsin WI 23 23 121 5.3 7 0
20 Michigan MI 39 39 108 2.8 21 0
21 Iowa IA 17 17 100 5.9 5 0
22 Colorado CO 56 56 85 1.5 37 0
23 Arkansas AR 7 7 84 12.0 2 0
24 Virginia VA 43 43 83 1.9 26 0
25 Utah UT 29 29 73 2.5 20 1
26 Montana MT 4 4 50 12.5 2 0
27 Alabama AL 17 17 40 2.4 8 0
28 Maryland MD 24 24 38 1.6 16 0
29 Washington WA 29 29 38 1.3 17 0
30 Puerto Rico PR 16 16 34 2.1 11 0
31 Kansas KS 20 20 31 1.6 7 0
32 Nebraska NE 8 8 29 3.6 1 0
33 Indiana IN 16 16 26 1.6 7 0
34 Oregon OR 13 13 24 1.8 8 0
35 Kentucky KY 8 8 20 2.5 2 0
36 Oklahoma OK 8 8 20 2.5 5 0
37 Louisiana LA 8 8 19 2.4 3 0
38 Hawaii HI 4 4 14 3.5 1 0
39 Nevada NV 13 13 12 0.9 9 0
40 District of Columbia DC 17 17 11 0.6 12 0
41 Vermont VT 3 3 11 3.7 1 0
42 Maine ME 21 21 9 0.4 16 0
43 Delaware DE 2 2 7 3.5 1 0
44 Mississippi MS 2 2 7 3.5 1 0
45 Alaska AK 1 1 4 4.0 0 0
46 West Virginia WV 2 2 3 1.5 1 0
47 North Dakota ND 3 3 2 0.7 2 0
48 South Dakota SD 4 4 1 0.3 3 0
49 American Samoa AS 0 0 0 0.0 0 0
50 Guam GU 0 0 0 0.0 0 0
51 Idaho ID 3 3 0 0.0 3 0
52 New Hampshire NH 8 8 0 0.0 8 0
53 New Mexico NM 1 1 0 0.0 1 0
54 Northern Mariana Islands MP 0 0 0 0.0 0 0
55 U.S. Virgin Islands VI 1 1 0 0.0 1 0
56 Wyoming WY 2 2 0 0.0 2 0