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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
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004$36,971
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004$770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004$11,500,000
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
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$6,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002$350,000
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
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
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial 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
Salomon Smith Barney Inc.Morgan Stanleyfinancial 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
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial 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
Salomon Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2002$5,000,000
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002$250,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
Credit Suisse First Boston CorporationUBSfinancial 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. $50,000,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2001$100,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$20,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001$12,000
Spear, Leeds & KelloggGoldman Sachsfinancial servicesinvestor protection violation2001$10,000
E-Trade SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2001$90,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2001$40,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001$25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2001$15,000
Chase Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2001$2,300,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001$225,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001$10,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001$32,500
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2000$97,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$350,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000$100,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000$5,890,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000$3,410,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000$933,000
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000$500,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$495,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2021$11,650,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022$15,200,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2022$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023$24,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$1,600,000
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
Worden Capital Management LLC investor protection violation2020$1,550,000
Lek Securities Corporation investor protection violation2019$900,000
Summit Brokerage Services, Inc. investor protection violation2019$880,000
Buckman, Buckman & Reid, Inc. investor protection violation2019$205,000
TradeStation Securities, Inc. investor protection violation2008$750,000
Instinet, LLC investor protection violation2018$1,575,000
Aegis Capital Corp. anti-money-laundering deficiencies2018$550,000
C.L. King & Associates, Inc. investor protection violation2017$750,000
Purshe Kaplan Sterling Investments investor protection violation2017$4,150,000
Georgeson Securities Corporation investor protection violation2016$650,000
Cetera Advisor Networks LLC investor protection violation2016$750,000
Cetera Financial Specialists LLC investor protection violation2016$350,000
First Allied Securities, Inc. investor protection violation2016$950,000
Summit Brokerage Services, Inc. investor protection violation2016$500,000
VSR Financial Services, Inc. investor protection violation2016$400,000
Kestra Investment Services, LLC investor protection violation2016$475,000
FTB Advisors, Inc. investor protection violation2016$250,000
Avenir Financial Group investor protection violation2016$229,000
Stephens Inc. investor protection violation2016$900,000
Stephens Inc. investor protection violation2015$150,000
First Allied Securities, Inc. investor protection violation2015$1,014,647
Cetera Advisors LLC investor protection violation2015$702,622
Park Avenue Securities LLC investor protection violation2015$743,255
Commonwealth Financial Network investor protection violation2015$582,521
Cetera Advisor Networks LLC investor protection violation2015$301,108
Infinex Investments, Inc. investor protection violation2015$259,627
The Huntington Investment Company investor protection violation2015$135,973
StockCross Financial Services, Inc. investor protection violation2015$800,000
Aegis Capital Corp. investor protection violation2015$950,000
H. Beck, Inc. investor protection violation2015$425,000
LaSalle St. Securities, LLC investor protection violation2015$175,000
J.P. Turner & Company, LLC investor protection violation2015$100,000
First New York Securities L.L.C. investor protection violation2015$916,000
Brookville Capital Partners LLC investor protection violation2015$1,500,000
John Thomas Financial investor protection violation2015$1,147,288
Monex Securities Inc. investor protection violation2014$1,275,000
Pershing LLC investor protection violation2014$3,000,000
Needham & Company LLC investor protection violation2014$2,500,000
Triad Advisors investor protection violation2014$1,025,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014$475,000
COR Clearing LLC anti-money-laundering deficiencies2013$1,000,000
J.P. Turner & Company, L.L.C. investor protection violation2013$707,559
Newedge USA, LLC investor protection violation2013$9,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.