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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 ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011$2,115,000
Pointe Capital, Inc. investor protection violation2011$300,000
John Thomas Financial investor protection violation2011$275,000
First Midwest Securities, Inc. investor protection violation2011$150,000
A&F Financial Securities, Inc. investor protection violation2011$125,000
Salomon Whitney LLC investor protection violation2011$60,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2011$500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011$5,000,000
Northern Trust SecuritiesNorthern Trustfinancial servicesinvestor protection violation2011$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$3,000,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011$3,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011$2,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011$10,750,000
Workman Securities Corp. investor protection violation2011$700,000
Askar Corporation investor protection violation2011$45,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$650,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011$600,000
Charles Schwab & Company, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$18,000,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$1,279,106
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
Merrill LynchBank of Americafinancial servicesinvestor protection violation2012$1,074,200
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$817,754
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012$11,250,000
David Lerner Associates, Inc. investor protection violation2012$14,300,000
Guggenheim Securities, LLC investor protection violation2012$800,000
Hold Brothers On-Line Investment Services, LLC investor protection violation2012$3,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2012$500,000
Rodman & Renshaw LLC investor protection violation2012$315,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2012$2,800,000
Brookstone Securities investor protection violation2012$2,600,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$3,500,000
Citigroup Global Markets, IncCitigroupfinancial servicesinvestor protection violation2012$2,741,489
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2012$2,146,431
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
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
Citi International Financial Services LLC investor protection violation2012$1,248,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2012$1,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$725,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013$3,750,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013$6,500,000
COR Clearing LLC anti-money-laundering deficiencies2013$1,000,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2013$921,000
J.P. Turner & Company, L.L.C. investor protection violation2013$707,559
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013$1,150,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013$675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2013$1,188,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013$1,425,000
Newedge USA, LLC investor protection violation2013$9,500,000
StateTrust Investments, Inc. investor protection violation2013$1,398,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2013$2,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013$9,000,000
Atlas One Financial Group, LLC anti-money-laundering deficiencies2013$350,000
Firstrade Securities, Inc. anti-money-laundering deficiencies2013$300,000
World Trade Financial Corporation anti-money-laundering deficiencies2013$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013$1,373,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013$750,000
Charles Schwab & CompanyCharles Schwab Corp.financial servicesinvestor protection violation2013$500,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013$1,200,000
Monex Securities Inc. investor protection violation2014$1,275,000
Pershing LLC investor protection violation2014$3,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2014$2,440,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$5,000,000
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014$5,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2014$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Needham & Company LLC investor protection violation2014$2,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2014$15,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$6,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$2,488,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014$800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$32,400,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$1,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$5,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2014$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2014$950,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$1,097,000
Triad Advisors investor protection violation2014$1,025,000
Securities AmericaReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014$625,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2014$775,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesanti-money-laundering deficiencies2014$8,000,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014$475,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014$1,025,000
Barclays Capital, Inc.Barclaysfinancial servicesinvestor protection violation2015$13,750,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015$7,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.