Industry profile
Workplace enforcement in
Investment Banking and Securities Dealing .
Federal enforcement records for 90 employers across OSHA, WHD, MSHA, EPA, NLRB, SAM.gov, and USAspending — refreshed daily, weekly, or monthly per source.
Summary
Federal records show 90 employers in Investment Banking and Securities Dealing — totaling 95 OSHA violations and $145,372 in assessed penalties. 3 fatality investigations are on record. Wage and Hour Division has opened 2 cases against employers in this industry, recovering $265,774 in back wages.
Industry totals
Most-cited employers
Ranked by OSHA violation count within Investment Banking and Securities Dealing .
| # | Employer | City / State | Violations | Penalties | Fatalities |
|---|---|---|---|---|---|
| 1 | HINRICHS TRADING LLC | STEPTOE, WA | 14 | $2,650 | — |
| 2 | 317743464 - PRICE MART INC | PORTLAND, OR | 10 | $2,740 | — |
| 3 | HANFORD COMMODITY TRANSPORT INC | HANFORD, CA | 8 | $6,635 | — |
| 4 | INTERSTATE COMMODITIES INC | WATSEKA, IL | 7 | $29,513 | — |
| 5 | BILLIE VANG | ALAMO, CA | 7 | $5,000 | — |
| 6 | WA317946071 - HINRICHS TRADING LLC | OTHELLO, WA | 5 | $12,600 | — |
| 7 | SBC 2011-1 REO LLC | SAN ANTONIO, TX | 4 | $9,500 | — |
| 8 | LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC Parent: Louis Dreyfus Company River Elevators LLC | CAHOKIA, IL | 4 | $8,665 | 1 |
| 9 | A+ CONTRACTORS, LLC | SODA SPRINGS, ID | 4 | $7,000 | — |
| 10 | AVE INVESTMENTS INC. | OSAGE BEACH, MO | 3 | $3,360 | — |
| 11 | AMERICAN RIVER AG, INC. | STOCKTON, CA | 3 | $1,350 | — |
| 12 | HINRICHS TRADING LLC | PULLMAN, WA | 3 | $600 | — |
| 13 | TK AMERICA, INC. | ONTARIO, CA | 2 | $14,810 | — |
| 14 | CHARLES SCHWAB & CO.,INC. Parent: Charles Schwab | SAN FRANCISCO, CA | 2 | $4,250 | — |
| 15 | FENIX SBT LLC | PHOENIX, AZ | 2 | $1,700 | — |
| 16 | MANTIET & ASSOCIATES | LEXINGTON, SC | 2 | $0 | — |
| 17 | WILLMAX CAPITAL MANAGEMENT, INC. | DENVER, CO | 1 | $28,000 | — |
| 18 | PONDEROSA, LLC. | LIMA, OH | 1 | $2,772 | — |
| 19 | REX J. PERRY TRUST. | LIMA, OH | 1 | $2,772 | — |
| 20 | WA317957488 - KRIVOSHEIN FINANCIAL PLLC | WALLA WALLA, WA | 1 | $600 | — |
| 21 | ACE CASH EXPRESS INC. | OAKLAND, CA | 1 | $375 | — |
| 22 | LINCOLN INTERNATIONAL LLC | LOS ANGELES, CA | 1 | $225 | — |
| 23 | MESA VERDE TRADING, CO. | FRESNO, CA | 1 | $175 | — |
| 24 | PRESERVATION NON-PROFIT HOUSING CORP | LANSING, MI | 1 | $80 | — |
| 25 | SCF SECURITIES, INC. | FRESNO, CA | 1 | $0 | — |
| 26 | 317727378 - CONRAD E PEARSON | LAKE OSWEGO, OR | 1 | $0 | — |
| 27 | BANK OF AMERICA CORP Parent: Bank of America | HILLSBORO, OR | 1 | $0 | — |
| 28 | GAVILON LLC | JOLIET, IL | 1 | $0 | — |
| 29 | MERRILL LYNCH Parent: Bank of America | RICHMOND, VA | 1 | $0 | 1 |
| 30 | WA317953266 - EDWARD D JONES & CO L P | WENATCHEE, WA | 1 | $0 | — |
| 31 | 317708267 - EDWARD D JONES & CO | CENTRAL POINT, OR | 1 | $0 | — |
Fatality investigations
| Employer | City / State | Fatalities | Violations | Penalties |
|---|---|---|---|---|
| LOUIS DREYFUS COMPANY RIVER ELEVATORS, LLC | CAHOKIA, IL | 1 | 4 | $8,665 |
| MERRILL LYNCH | RICHMOND, VA | 1 | 1 | $0 |
| KBC TRADING AND PROCESSING COMPANY | OWENDALE, MI | 1 | 0 | $0 |
States in this industry
State-level enforcement footprints for employers in Investment Banking and Securities Dealing , ranked by violation totals.
| State | Employers | Violations | Penalties | Fatalities |
|---|---|---|---|---|
| CaliforniaCA | 18 | 26 | $32,820 | — |
| WashingtonWA | 13 | 24 | $16,450 | — |
| OregonOR | 9 | 13 | $2,740 | — |
| IllinoisIL | 4 | 12 | $38,178 | 1 |
| IdahoID | 1 | 4 | $7,000 | — |
| TexasTX | 2 | 4 | $9,500 | — |
| MissouriMO | 2 | 3 | $3,360 | — |
| OhioOH | 4 | 2 | $5,544 | — |
| ArizonaAZ | 2 | 2 | $1,700 | — |
| South CarolinaSC | 4 | 2 | $0 | — |
| MichiganMI | 6 | 1 | $80 | 1 |
| VirginiaVA | 4 | 1 | $0 | 1 |
| ColoradoCO | 2 | 1 | $28,000 | — |
Bulk access
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About this data
Data sources: OSHA IMIS / OIS, DOL Wage & Hour Division, MSHA, EPA ECHO, NLRB, SAM.gov exclusions, USAspending.gov prime contract awards. Aggregates are computed from the most recent nightly sync. Methodology · Browse all industries.