COUNTY RANKINGS

Financial Adviser Misconduct by County

COUNTRY NAME	STATE	FIPS	NUMBER OF BROKER	% WITH MISCONDUCT
Baldwin	Alabama	1003	165	12.12
Jefferson	Alabama	1073	2064	9.11
Madison	Alabama	1089	404	9.90
Mobile	Alabama	1097	394	12.18
Montgomery	Alabama	1101	337	11.87
Tuscaloosa	Alabama	1125	120	14.17
Anchorage	Alaska	2020	362	11.33
Maricopa	Arizona	4013	11032	8.08
Pima	Arizona	4019	1139	13.17
Yavapai	Arizona	4025	223	13.90
Benton	Arkansas	5007	250	9.60
Pulaski	Arkansas	5119	1126	9.06
Washington	Arkansas	5143	194	9.79
Alameda	California	6001	1439	8.83
Butte	California	6007	225	8.44
Contra Costa	California	6013	2243	10.12
El Dorado	California	6017	156	10.90
Fresno	California	6019	798	9.77
Kern	California	6029	410	14.15
Los Angeles	California	6037	15969	9.58
Marin	California	6041	650	15.54
Monterey	California	6053	397	18.39
Napa	California	6055	193	13.47
Orange	California	6059	8475	10.21
Placer	California	6061	914	13.13
Riverside	California	6065	1458	11.66
Sacramento	California	6067	1722	8.54
San Bernardino	California	6071	2006	5.28
San Diego	California	6073	6640	11.04
San Francisco	California	6075	7884	6.65
San Joaquin	California	6077	380	9.21
San Luis Obispo	California	6079	336	8.93
San Mateo	California	6081	1767	7.81
Santa Barbara	California	6083	666	13.06
Santa Clara	California	6085	3367	8.17
Santa Cruz	California	6087	205	8.78
Shasta	California	6089	154	8.44
Solano	California	6095	168	11.31
Sonoma	California	6097	565	12.92
Stanislaus	California	6099	399	9.52
Tulare	California	6107	194	5.67
Ventura	California	6111	1466	14.26
Adams	Colorado	8001	355	5.35
Arapahoe	Colorado	8005	4955	7.10
Boulder	Colorado	8013	652	9.97
Broomfield	Colorado	8014	124	8.87
Denver	Colorado	8031	5383	5.41
Douglas	Colorado	8035	1556	5.59
El Paso	Colorado	8041	1508	7.10
Jefferson	Colorado	8059	629	7.31
Larimer	Colorado	8069	565	7.96
Mesa	Colorado	8077	181	9.39
Weld	Colorado	8123	185	7.57
Fairfield	Connecticut	9001	6098	7.58
Hartford	Connecticut	9003	4505	6.53
Middlesex	Connecticut	9007	211	9.95
New Haven	Connecticut	9009	1348	9.12
New London	Connecticut	9011	282	9.22
New Castle	Delaware	10003	1382	6.87
Sussex	Delaware	10005	147	6.12
Alachua	Florida	12001	218	8.26
Bay	Florida	12005	106	16.98
Brevard	Florida	12009	620	14.03
Broward	Florida	12011	3205	14.13
Charlotte	Florida	12015	199	10.55
Collier	Florida	12021	843	16.73
Duval	Florida	12031	3450	6.78
Escambia	Florida	12033	370	12.16
Hernando	Florida	12053	105	13.33
Hillsborough	Florida	12057	3286	9.49
Indian River	Florida	12061	282	19.15
Lake	Florida	12069	220	11.36
Lee	Florida	12071	853	16.76
Leon	Florida	12073	310	11.94
Manatee	Florida	12081	316	14.56
Marion	Florida	12083	225	15.11
Martin	Florida	12085	359	18.38
Miami-Dade	Florida	12086	5611	9.36
Okaloosa	Florida	12091	197	9.64
Orange	Florida	12095	2630	10.30
Palm Beach	Florida	12099	5278	18.11
Pasco	Florida	12101	300	13.33
Pinellas	Florida	12103	3258	9.12
Polk	Florida	12105	406	13.30
St Johns	Florida	12109	381	14.44
St Lucie	Florida	12111	109	12.84
Sarasota	Florida	12115	1039	16.27
Seminole	Florida	12117	971	7.42
Sumter	Florida	12119	136	13.24
Volusia	Florida	12127	437	12.59
Bibb	Georgia	13021	284	11.27
Chatham	Georgia	13051	354	12.43
Cherokee	Georgia	13057	194	6.70
Clarke	Georgia	13059	162	8.02
Cobb	Georgia	13067	510	9.02
De Kalb	Georgia	13089	251	8.37
Fayette	Georgia	13113	141	9.22
Forsyth	Georgia	13117	123	11.38
Fulton	Georgia	13121	7491	8.93
Gwinnett	Georgia	13135	1092	7.60
Hall	Georgia	13139	119	10.08
Henry	Georgia	13151	144	15.28
Muscogee	Georgia	13215	253	9.49
Richmond	Georgia	13245	223	7.62
Honolulu	Hawaii	15003	1313	6.93
Ada	Idaho	16001	727	9.63
Bonneville	Idaho	16019	158	5.70
Kootenai	Idaho	16055	182	10.44
Adams	Illinois	17001	100	8.00
Champaign	Illinois	17019	247	8.10
Cook	Illinois	17031	18620	6.26
Du Page	Illinois	17043	4214	6.98
Kane	Illinois	17089	605	7.44
Lake	Illinois	17097	1795	9.25
McHenry	Illinois	17111	339	9.73
Mclean	Illinois	17113	12979	4.08
Macon	Illinois	17115	122	4.10
Madison	Illinois	17119	287	6.27
Peoria	Illinois	17143	339	10.32
Rock Island	Illinois	17161	182	4.40
St Clair	Illinois	17163	311	10.29
Sangamon	Illinois	17167	508	7.28
Tazewell	Illinois	17179	120	5.83
Will	Illinois	17197	496	9.27
Winnebago	Illinois	17201	393	7.38
Allen	Indiana	18003	1355	4.87
Elkhart	Indiana	18039	163	5.52
Floyd	Indiana	18043	119	4.20
Hamilton	Indiana	18057	532	7.89
Hendricks	Indiana	18063	108	4.63
Johnson	Indiana	18081	156	6.41
Lake	Indiana	18089	470	8.94
Marion	Indiana	18097	3181	7.61
Monroe	Indiana	18105	127	7.87
Porter	Indiana	18127	180	7.22
St Joseph	Indiana	18141	336	8.04
Tippecanoe	Indiana	18157	153	6.54
Vanderburgh	Indiana	18163	312	6.41
Black Hawk	Iowa	19013	290	5.52
Bremer	Iowa	19017	203	4.43
Cerro Gordo	Iowa	19033	112	2.68
Dubuque	Iowa	19061	353	3.97
Jefferson	Iowa	19101	280	5.71
Johnson	Iowa	19103	183	8.20
Linn	Iowa	19113	727	7.02
Polk	Iowa	19153	3114	5.72
Scott	Iowa	19163	392	6.89
Woodbury	Iowa	19193	135	9.63
Douglas	Kansas	20045	152	9.21
Johnson	Kansas	20091	2980	7.85
Saline	Kansas	20169	112	2.68
Sedgwick	Kansas	20173	841	10.23
Shawnee	Kansas	20177	537	6.15
Boone	Kentucky	21015	141	9.93
Fayette	Kentucky	21067	588	7.65
Jefferson	Kentucky	21111	1624	11.15
Kenton	Kentucky	21117	1991	2.86
Caddo	Louisiana	22017	394	6.85
Calcasieu	Louisiana	22019	184	10.87
East Baton Rouge	Louisiana	22033	790	8.10
Jefferson	Louisiana	22051	633	6.48
Lafayette	Louisiana	22055	416	7.45
Orleans	Louisiana	22071	762	10.37
Ouachita	Louisiana	22073	135	14.81
St Tammany	Louisiana	22103	382	9.42
Cumberland	Maine	23005	890	7.42
Penobscot	Maine	23019	140	7.86
York	Maine	23031	103	11.65
Anne Arundel	Maryland	24003	762	10.50
Baltimore	Maryland	24005	2250	6.00
Carroll	Maryland	24013	131	6.87
Frederick	Maryland	24021	268	9.33
Harford	Maryland	24025	197	8.12
Howard	Maryland	24027	606	7.43
Montgomery	Maryland	24031	2335	7.88
Prince Georges	Maryland	24033	307	7.49
Washington	Maryland	24043	122	9.84
Baltimore City	Maryland	24510	2067	5.08
Barnstable	Massachusetts	25001	333	15.62
Berkshire	Massachusetts	25003	113	10.62
Bristol	Massachusetts	25005	293	9.90
Essex	Massachusetts	25009	1190	9.92
Hampden	Massachusetts	25013	940	8.30
Hampshire	Massachusetts	25015	123	12.20
Middlesex	Massachusetts	25017	2397	7.43
Norfolk	Massachusetts	25021	1767	6.17
Plymouth	Massachusetts	25023	738	10.16
Suffolk	Massachusetts	25025	9054	4.83
Worcester	Massachusetts	25027	980	7.14
Berrien	Michigan	26021	119	9.24
Genesee	Michigan	26049	443	7.67
Grand Traverse	Michigan	26055	252	7.94
Ingham	Michigan	26065	922	5.53
Jackson	Michigan	26075	100	9.00
Kalamazoo	Michigan	26077	429	10.49
Kent	Michigan	26081	1483	8.09
Livingston	Michigan	26093	171	11.70
Macomb	Michigan	26099	730	9.32
Midland	Michigan	26111	108	9.26
Muskegon	Michigan	26121	140	9.29
Oakland	Michigan	26125	4690	10.58
Ottawa	Michigan	26139	312	3.53
Saginaw	Michigan	26145	287	10.45
St Clair	Michigan	26147	104	4.81
Washtenaw	Michigan	26161	546	8.61
Wayne	Michigan	26163	1345	10.56
Anoka	Minnesota	27003	177	12.43
Blue Earth	Minnesota	27013	142	6.34
Dakota	Minnesota	27037	519	5.97
Hennepin	Minnesota	27053	9407	6.03
Olmsted	Minnesota	27109	292	6.51
Ramsey	Minnesota	27123	1470	6.60
St Louis	Minnesota	27137	287	6.97
Scott	Minnesota	27139	108	5.56
Stearns	Minnesota	27145	491	3.26
Washington	Minnesota	27163	600	5.67
Forrest	Mississippi	28035	135	6.67
Harrison	Mississippi	28047	128	8.59
Hinds	Mississippi	28049	379	8.18
Madison	Mississippi	28089	311	14.79
Boone	Missouri	29019	159	3.77
Cape Girardeau	Missouri	29031	109	7.34
Clay	Missouri	29047	145	8.97
Cole	Missouri	29051	106	5.66
Greene	Missouri	29077	458	7.86
Jackson	Missouri	29095	1899	5.69
Jasper	Missouri	29097	127	10.24
St Charles	Missouri	29183	359	10.03
St Louis	Missouri	29189	2211	10.90
St Louis City	Missouri	29510	7113	4.19
Cascade	Montana	30013	203	8.87
Flathead	Montana	30029	103	12.62
Gallatin	Montana	30031	176	10.23
Missoula	Montana	30063	193	8.29
Yellowstone	Montana	30111	274	9.85
Douglas	Nebraska	31055	3850	5.69
Hall	Nebraska	31079	190	5.79
Lancaster	Nebraska	31109	986	6.39
Sarpy	Nebraska	31153	326	5.52
Clark	Nevada	32003	1906	11.59
Washoe	Nevada	32031	591	13.87
Hillsborough	New Hampshire	33011	2158	5.28
Merrimack	New Hampshire	33013	370	4.86
Rockingham	New Hampshire	33015	532	9.02
Atlantic	New Jersey	34001	312	16.35
Bergen	New Jersey	34003	2699	11.75
Burlington	New Jersey	34005	1080	11.39
Camden	New Jersey	34007	511	9.78
Essex	New Jersey	34013	2974	7.26
Gloucester	New Jersey	34015	128	7.81
Hudson	New Jersey	34017	5370	4.26
Hunterdon	New Jersey	34019	228	9.65
Mercer	New Jersey	34021	2424	5.32
Middlesex	New Jersey	34023	1782	8.14
Monmouth	New Jersey	34025	2389	15.91
Morris	New Jersey	34027	3037	11.59
Ocean	New Jersey	34029	460	13.91
Passaic	New Jersey	34031	378	10.32
Somerset	New Jersey	34035	1069	10.10
Sussex	New Jersey	34037	112	7.14
Union	New Jersey	34039	826	11.14
Bernalillo	New Mexico	35001	831	9.63
Dona Ana	New Mexico	35013	112	8.93
Santa Fe	New Mexico	35049	302	9.93
Albany	New York	36001	1405	8.19
Bronx	New York	36005	226	3.10
Broome	New York	36007	294	10.20
Chautauqua	New York	36013	120	15.00
Dutchess	New York	36027	387	10.34
Erie	New York	36029	2188	9.19
Kings	New York	36047	1373	6.48
Madison	New York	36053	131	32.06
Monroe	New York	36055	2053	8.28
Nassau	New York	36059	4832	15.42
New York	New York	36061	89704	3.85
Niagara	New York	36063	151	5.30
Oneida	New York	36065	257	8.95
Onondaga	New York	36067	1325	9.36
Ontario	New York	36069	106	10.38
Orange	New York	36071	396	9.34
Queens	New York	36081	1478	5.89
Rensselaer	New York	36083	148	8.11
Richmond	New York	36085	436	17.66
Rockland	New York	36087	461	12.15
Saratoga	New York	36091	419	6.44
Suffolk	New York	36103	4136	17.29
Ulster	New York	36111	176	12.50
Westchester	New York	36119	4680	7.95
Buncombe	North Carolina	37021	338	7.99
Cabarrus	North Carolina	37025	100	9.00
Catawba	North Carolina	37035	162	4.94
Cumberland	North Carolina	37051	166	5.42
Durham	North Carolina	37063	669	4.78
Forsyth	North Carolina	37067	614	7.65
Guilford	North Carolina	37081	1052	6.65
Henderson	North Carolina	37089	113	14.16
Iredell	North Carolina	37097	119	11.76
Mecklenburg	North Carolina	37119	8564	5.28
Moore	North Carolina	37125	100	12.00
New Hanover	North Carolina	37129	385	12.99
Orange	North Carolina	37135	237	8.02
Pitt	North Carolina	37147	151	6.62
Wake	North Carolina	37183	2138	7.25
Burleigh	North Dakota	38015	198	8.08
Cass	North Dakota	38017	369	11.38
Ward	North Dakota	38101	139	10.07
Allen	Ohio	39003	146	4.79
Butler	Ohio	39017	328	7.01
Clermont	Ohio	39025	104	5.77
Cuyahoga	Ohio	39035	3959	8.23
Delaware	Ohio	39041	427	4.45
Franklin	Ohio	39049	5144	4.78
Greene	Ohio	39057	224	4.91
Hamilton	Ohio	39061	3200	6.34
Hancock	Ohio	39063	108	4.63
Lake	Ohio	39085	295	6.10
Licking	Ohio	39089	108	6.48
Lorain	Ohio	39093	160	8.13
Lucas	Ohio	39095	790	8.35
Mahoning	Ohio	39099	418	8.37
Medina	Ohio	39103	162	5.56
Montgomery	Ohio	39113	834	8.51
Richland	Ohio	39139	116	11.21
Stark	Ohio	39151	505	8.91
Summit	Ohio	39153	1228	7.74
Trumbull	Ohio	39155	109	7.34
Warren	Ohio	39165	171	7.02
Wood	Ohio	39173	188	11.70
Cleveland	Oklahoma	40027	154	5.84
Oklahoma	Oklahoma	40109	1692	7.45
Tulsa	Oklahoma	40143	1277	7.99
Clackamas	Oregon	41005	783	9.83
Deschutes	Oregon	41017	291	10.31
Jackson	Oregon	41029	266	10.53
Lane	Oregon	41039	449	9.13
Marion	Oregon	41047	335	7.16
Multnomah	Oregon	41051	2046	9.43
Washington	Oregon	41067	458	7.42
Allegheny	Pennsylvania	42003	3573	6.97
Beaver	Pennsylvania	42007	118	6.78
Berks	Pennsylvania	42011	468	8.55
Blair	Pennsylvania	42013	173	10.98
Bucks	Pennsylvania	42017	1207	10.11
Butler	Pennsylvania	42019	253	8.30
Cambria	Pennsylvania	42021	211	5.69
Centre	Pennsylvania	42027	228	3.95
Chester	Pennsylvania	42029	5398	4.95
Cumberland	Pennsylvania	42041	572	10.66
Dauphin	Pennsylvania	42043	371	5.12
Delaware	Pennsylvania	42045	615	13.33
Erie	Pennsylvania	42049	294	10.20
Franklin	Pennsylvania	42055	114	2.63
Lackawanna	Pennsylvania	42069	473	9.09
Lancaster	Pennsylvania	42071	681	8.52
Lebanon	Pennsylvania	42075	101	8.91
Lehigh	Pennsylvania	42077	973	8.53
Luzerne	Pennsylvania	42079	320	12.81
Lycoming	Pennsylvania	42081	153	7.84
Mercer	Pennsylvania	42085	126	6.35
Monroe	Pennsylvania	42089	117	7.69
Montgomery	Pennsylvania	42091	4210	7.41
Northampton	Pennsylvania	42095	131	8.40
Philadelphia	Pennsylvania	42101	2419	6.95
Washington	Pennsylvania	42125	370	8.38
Westmoreland	Pennsylvania	42129	426	8.92
York	Pennsylvania	42133	456	7.89
Kent	Rhode Island	44003	501	5.99
Providence	Rhode Island	44007	2880	4.20
Washington	Rhode Island	44009	104	10.58
Beaufort	South Carolina	45013	224	15.18
Charleston	South Carolina	45019	791	9.61
Greenville	South Carolina	45045	798	10.65
Horry	South Carolina	45051	219	12.33
Lexington	South Carolina	45063	131	11.45
Richland	South Carolina	45079	711	8.72
Spartanburg	South Carolina	45083	179	6.15
York	South Carolina	45091	115	6.96
Minnehaha	South Dakota	46099	567	10.41
Pennington	South Dakota	46103	161	7.45
Davidson	Tennessee	47037	1165	9.36
Hamilton	Tennessee	47065	516	11.82
Knox	Tennessee	47093	822	8.52
Madison	Tennessee	47113	167	10.18
Rutherford	Tennessee	47149	161	3.11
Shelby	Tennessee	47157	2442	8.64
Sullivan	Tennessee	47163	154	12.99
Sumner	Tennessee	47165	112	9.82
Washington	Tennessee	47179	161	7.45
Williamson	Tennessee	47187	1134	6.97
Bell	Texas	48027	170	4.71
Bexar	Texas	48029	3193	6.39
Brazoria	Texas	48039	168	6.55
Brazos	Texas	48041	157	8.28
Cameron	Texas	48061	120	12.50
Collin	Texas	48085	1459	10.01
Dallas	Texas	48113	6983	8.66
Denton	Texas	48121	2895	4.39
El Paso	Texas	48141	437	11.67
Fort Bend	Texas	48157	492	9.55
Galveston	Texas	48167	218	5.96
Gregg	Texas	48183	153	7.19
Harris	Texas	48201	9429	7.77
Hidalgo	Texas	48215	287	6.27
Jefferson	Texas	48245	274	11.31
Kendall	Texas	48259	121	8.26
Lubbock	Texas	48303	315	7.94
McLennan	Texas	48309	176	10.23
Midland	Texas	48329	143	6.99
Montgomery	Texas	48339	640	11.72
Nueces	Texas	48355	282	8.51
Randall	Texas	48381	252	12.70
Smith	Texas	48423	312	9.62
Tarrant	Texas	48439	3435	8.12
Taylor	Texas	48441	125	6.40
Travis	Texas	48453	3233	7.98
Wichita	Texas	48485	118	4.24
Williamson	Texas	48491	298	12.08
Davis	Utah	49011	277	7.22
Salt Lake	Utah	49035	4034	5.92
Utah	Utah	49049	671	6.56
Washington	Utah	49053	154	7.14
Weber	Utah	49057	154	6.49
Chittenden	Vermont	50007	427	11.24
Washington	Vermont	50023	197	3.05
Albemarle	Virginia	51003	260	6.54
Arlington	Virginia	51013	302	4.30
Chesterfield	Virginia	51041	354	6.50
Fairfax	Virginia	51059	3047	8.01
Henrico	Virginia	51087	2568	7.17
Loudoun	Virginia	51107	233	14.59
Rockingham	Virginia	51165	144	7.64
Spotsylvania	Virginia	51177	130	6.92
Chesapeake City	Virginia	51550	107	11.21
Lynchburg City	Virginia	51680	153	9.15
Newport News City	Virginia	51700	188	9.57
Norfolk City	Virginia	51710	291	11.34
Roanoke City	Virginia	51770	402	10.45
Virginia Beach City	Virginia	51810	734	10.22
Williamsburg City	Virginia	51830	196	7.65
Benton	Washington	53005	206	10.68
Chelan	Washington	53007	105	5.71
Clark	Washington	53011	473	8.25
King	Washington	53033	5151	8.46
Kitsap	Washington	53035	203	10.34
Pierce	Washington	53053	750	8.27
Skagit	Washington	53057	116	6.90
Snohomish	Washington	53061	574	8.71
Spokane	Washington	53063	726	7.85
Thurston	Washington	53067	217	6.91
Whatcom	Washington	53073	264	10.98
Yakima	Washington	53077	145	7.59
Cabell	West Virginia	54011	131	12.98
Kanawha	West Virginia	54039	270	14.07
Brown	Wisconsin	55009	594	8.59
Dane	Wisconsin	55025	1222	7.69
Eau Claire	Wisconsin	55035	190	10.53
Fond Du Lac	Wisconsin	55039	100	6.00
La Crosse	Wisconsin	55063	184	5.98
Marathon	Wisconsin	55073	192	9.38
Milwaukee	Wisconsin	55079	3302	4.39
Outagamie	Wisconsin	55087	907	6.06
Ozaukee	Wisconsin	55089	288	13.19
Portage	Wisconsin	55097	103	6.80
Racine	Wisconsin	55101	154	9.09
Rock	Wisconsin	55105	134	7.46
Sheboygan	Wisconsin	55117	148	8.78
Washington	Wisconsin	55131	172	8.72
Waukesha	Wisconsin	55133	1505	9.50
Winnebago	Wisconsin	55139	214	7.48
Laramie	Wyoming	56021	105	5.71
Natrona	Wyoming	56025	115	9.57
Guaynabo	Puerto Rico	72061	126	19.05
San Juan	Puerto Rico	72127	632	14.56

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