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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 Industry sort iconPrimary Offense TypeYearPenalty Amount
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009$1,200,000
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009$600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009$600,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$425,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009$1,000,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009$300,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$32,500
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009$25,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009$1,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008$300,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008$250,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008$250,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2008$4,500,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008$200,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008$150,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008$150,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008$150,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2008$50,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008$100,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2007$12,500,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2007$354,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2007$100,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007$400,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2007$2,750,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007$3,000,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007$100,000
Fidelity Distributors Corp. et al.Fidelity Investmentsfinancial servicesinvestor protection violation2007$3,750,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2006$4,000,000
USAllianz SecuritiesAllianzfinancial servicesinvestor protection violation2006$5,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2006$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006$250,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$100,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2006$500,000
MetLife Securities, IncMetLifefinancial servicesinvestor protection violation2006$500,000
CCO Investment Services Corp.Citizens Financial Groupfinancial servicesinvestor protection violation2006$850,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$800,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2006$2,900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2006$1,115,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006$7,000,000
BRUT LLCNasdaq Inc.financial servicesinvestor protection violation2006$2,200,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$350,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006$200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006$5,000,000
Sanford C. Bernstein & Co.Equitable Holdingsfinancial servicesinvestor protection violation2006$350,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$250,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2005$14,000,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005$3,000,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$290,262
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.