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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
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
Kestra Investment Services, LLC investor protection violation2016$475,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000$100,000
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014$5,000,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2001$2,300,000
John Thomas Financial investor protection violation2015$1,147,288
John Thomas Financial investor protection violation2011$275,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
JMP Securities, LLC investor protection violation2008$50,000
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$688,697
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004$125,000
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
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015$1,200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005$2,200,000
J.P. Turner & Company, LLC investor protection violation2015$100,000
J.P. Turner & Company, LLC investor protection violation2008$250,000
J.P. Turner & Company, LLC investor protection violation2004$185,000
J.P. Turner & Company, L.L.C. investor protection violation2013$707,559
J.P. Turner & Co. anti-money-laundering deficiencies2009$525,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
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 Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009$500,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2004$125,000
J.C. Bradford & Co. investor protection violation2000$536,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
Investors Capital Corporation investor protection violation2011$400,000
Investors Capital Corp. investor protection violation2009$25,000
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005$363,500
Intersecurities, Inc. investor protection violation2009$50,000
InterSecurities, Inc. investor protection violation2004$125,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
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
Instinet, LLC and INET ATS, Inc. investor protection violation2005$1,475,000
Instinet, LLC investor protection violation2018$1,575,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013$1,200,000
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005$1,500,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004$200,000
ING Barings LLC investor protection violation2001$20,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006$7,000,000
Infinex Investments, Inc. investor protection violation2015$259,627
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
Index Securities, LLC investor protection violation2004$11,000
IFMG Securities investor protection violation2009$450,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation investor protection violation2005$1,520,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
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
Hornor, Townsend & Kent, Inc. investor protection violation2005$325,000
Hornblower & Weeks, Inc. investor protection violation2002$100,000
Hold Brothers On-Line Investment Services, LLC investor protection violation2012$3,400,000
Herzog, Heine, Geduld, Inc. investor protection violation2001$18,000
Herzog, Heine, Geduld, Inc. investor protection violation2001$40,000
Harris Investor Services, Inc. investor protection violation2008$150,000
Hantz Financial Services, Inc. investor protection violation2005$675,000
H.D. Vest Investment Services investor protection violation2005$4,015,000
H. Beck, Inc. investor protection violation2015$425,000
H. Beck, Inc. investor protection violation2009$140,000
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
GunnAllen Financial, Inc. investor protection violation2009$6,000
GunnAllen Financial, Inc. investor protection violation2008$750,000
Guggenheim Securities, LLC investor protection violation2012$800,000
Green Street Advisors investor protection violation2005$150,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$1,000,000
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
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
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014$800,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
Gerard Klauer Mattison & Co., Inc. investor protection violation2001$10,000
Georgeson Securities Corporation investor protection violation2016$650,000
Gary Goldberg & Co., Inc investor protection violation2009$19,500
Garden State Securities, Inc. investor protection violation2011$300,000
FutureTrade Securities, L.L.C investor protection violation2004$35,000
FTB Advisors, Inc. investor protection violation2016$250,000
FSC Securities Corporation investor protection violation2009$15,000
FSC Securities Corp. investor protection violation2005$2,400,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2008$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2006$4,000,000
Fox & Company Investments Inc. investor protection violation2009$45,000
Fleet Securities, Inc. investor protection violation2001$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.