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Violation Tracker Agency Summary Page

Agency Name: Financial Industry Regulatory Authority
Penalty Total since 2000: $1,460,168,409
Number of Records: 743
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$181,639,25741
UBS$101,180,25030
Morgan Stanley$99,073,00739
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
Raymond James Financial$46,353,00011
Charles Schwab Corp.$36,176,86913
MetLife$33,424,7488

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2006$1,115,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$350,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2005$60,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$6,250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$275,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2004$5,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
CCO Investment Services Corp.Citizens Financial Groupfinancial servicesinvestor protection violation2006$850,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015$347,757
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2001$100,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009$25,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014$4,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013$6,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010$7,500,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008$150,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$15,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,290,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$772,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015$600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007$100,000
Sanford C. Bernstein & Co.Equitable Holdingsfinancial servicesinvestor protection violation2006$350,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005$3,984,087
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2005$900,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2015$1,030,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007$400,000
Fidelity Distributors Corp. et al.Fidelity Investmentsfinancial servicesinvestor protection violation2007$3,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$963,534
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$5,000,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014$800,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$1,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2010$650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$140,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$125,000
Spear, Leeds & Kellogg, L.PGoldman Sachsfinancial servicesinvestor protection violation2005$1,000,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2004$75,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Spear, Leeds & KelloggGoldman Sachsfinancial servicesinvestor protection violation2001$10,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004$825,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$650,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$500,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004$36,971
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000$500,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010$375,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010$1,500,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007$250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$15,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018$5,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017$450,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2008$50,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006$5,500,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$13,500,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2006$250,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2005$300,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004$300,000
Edward JonesJones Financialfinancial servicesinvestor protection violation2004$25,181
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$1,100,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014$5,000,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011$3,600,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$32,500
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2006$500,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$290,262
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2005$60,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.