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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Pulse Trading, Inc. investor protection violation2004$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001$10,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$20,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2004$17,306
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004$11,500,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004$550,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012$11,250,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Providential Securities, Inc. investor protection violation2000$115,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009$25,000
Prager, Sealy & Co., LLC investor protection violation2005$30,000
Popular Securities, Inc. investor protection violation2005$40,000
Pointe Capital, Inc. investor protection violation2011$300,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009$250,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016$50,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000$933,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010$700,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008$100,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$280,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$275,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004$2,400,000
Pinnacle Capital Markets anti-money-laundering deficiencies2010$300,000
Phoenix Derivatives Group, LLC investor protection violation2010$3,000,000
PFS Investments, Inc. investor protection violation2004$450,000
Pershing Trading Company, L.P. investor protection violation2001$20,000
Pershing LLC investor protection violation2014$3,000,000
Pershing LLC investor protection violation2005$30,000
Penson Financial Services, Inc. investor protection violation2001$15,000
Penson Financial Services anti-money-laundering deficiencies2010$450,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000$539,117
Park Financial Group, Inc. anti-money-laundering deficiencies2009$400,000
Park Avenue Securities LLC investor protection violation2015$743,255
Pacific Crest Securities, Inc. investor protection violation2008$50,000
Pacific Cornerstone Capital investor protection violation2009$700,000
Options Trading Associates, LLC investor protection violation2004$10,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013$1,425,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2013$921,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$4,600,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$3,425,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$2,966,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$3,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$250,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2008$4,500,000
Open to the Public Investing, Inc. investor protection violation2023$528,124
Olympus Securities, LLC investor protection violation2010$20,000
NYLife Securities, Inc.New York Life Insurancefinancial servicesinvestor protection violation2004$350,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2007$354,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011$3,000,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2007$100,000
Northern Trust SecuritiesNorthern Trustfinancial servicesinvestor protection violation2011$600,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2011$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009$1,000,000
Newedge USA, LLC investor protection violation2013$9,500,000
Newbridge Securities Corporation investor protection violation2011$25,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004$200,000
Needham & Company, LLC investor protection violation2008$200,000
Needham & Company LLC investor protection violation2014$2,500,000
NDB Capital Markets, LP investor protection violation2001$75,000
NDB Capital Markets LP investor protection violation2001$250,000
Nationwide Investment Services Corporation investor protection violation2004$175,000
National Securities Corporation investor protection violation2011$175,000
National Securities Corporation investor protection violation2009$25,000
National Securities Corporation investor protection violation2005$85,000
National Securities Corp. investor protection violation2004$600,000
National Planning Corporation Inc. investor protection violation2005$1,308,000
National Planning Corp. investor protection violation2004$100,000
National Financial Services, L.L.C. investor protection violation2001$30,000
National Financial Services investor protection violation2010$350,000
NatCity Investments, Inc. investor protection violation2009$300,000
Mutual Service Corporation, Inc. investor protection violation2001$35,000
Mutual Service Corporation investor protection violation2009$1,500,000
Mutual Service Corporation investor protection violation2005$1,300,000
Multi-Financial Securities Corporation investor protection violation2009$150,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$650,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2013$1,188,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2018$10,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$13,030,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$1,600,000
Morgan Stanley DW, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2005$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007$6,100,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$100,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$250,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$38,312
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$2,000,000
Morgan Stanley DW IncMorgan Stanleyfinancial servicesinvestor protection violation2004$336,510
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2012$2,146,431
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2010$800,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$495,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.