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Violation Tracker Agency Summary Page

Agency Name: Financial Industry Regulatory Authority
Penalty Total since 2000: $1,461,018,409
Number of Records: 744
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
Fox & Company Investments Inc. investor protection violation2009$45,000
Fleet Securities, Inc. investor protection violation2001$50,000
Fleet Securities, Inc. investor protection violation2001$40,000
Firstrade Securities, Inc. anti-money-laundering deficiencies2013$300,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$350,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001$32,500
First Trust Portfolios L.P investor protection violation2004$118,680
First Southwest Company investor protection violation2008$300,000
First New York Securities L.L.C. investor protection violation2015$916,000
First New York Securities L.L.C. investor protection violation2009$341,000
First Midwest Securities, Inc. investor protection violation2011$150,000
First Midwest Securities, Inc. investor protection violation2009$7,000
First Command Financial Planning Inc. investor protection violation2004$12,000,000
First Clearing Corporation investor protection violation2005$110,000
First Chicago Capital Markets, Inc. investor protection violation2000$4,420,000
First Avantus Securities, Inc. investor protection violation2005$100,000
First Allied Securities, Inc. investor protection violation2016$950,000
First Allied Securities, Inc. investor protection violation2015$1,014,647
First Allied Securities, Inc. investor protection violation2005$734,500
Financial West Group investor protection violation2009$5,000
Financial Network Investment Corp. investor protection violation2004$185,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$963,534
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Fiero Brothers, Inc. investor protection violation2002$1,000,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007$400,000
Fidelity Distributors Corp. et al.Fidelity Investmentsfinancial servicesinvestor protection violation2007$3,750,000
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2015$1,030,000
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
Farmers Financial Solutions LLC investor protection violation2004$125,000
Fagenson & Co., Inc. investor protection violation2010$165,000
Equity Station, Inc. investor protection violation2010$25,000
Equity Services, Inc. investor protection violation2011$214,000
Emmet & Co., Inc. investor protection violation2005$40,000
EKN Financial Services Inc. investor protection violation2006$200,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004$300,000
Edward JonesJones Financialfinancial servicesinvestor protection violation2004$25,181
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$13,500,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2006$250,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2005$300,000
E-Trade Securities, LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009$1,000,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$900,000
E-Trade SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2001$90,000
Doyle, Miles & Co., L.L.C. investor protection violation2004$12,500
Donnelly & Co., Inc. investor protection violation2000$17,500
Diversified Investors Securities Corp. investor protection violation2006$2,250,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008$150,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013$6,500,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$15,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,290,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010$7,500,000
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
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Delta Asset Management Company, L.L.C. investor protection violation2004$15,000
DebtTraders, Inc. investor protection violation2005$120,000
David Lerner Associates, Inc. investor protection violation2012$14,300,000
David Lerner Associates, Inc. investor protection violation2006$400,000
David Lerner Associates, Inc. investor protection violation2005$115,000
David Lerner Associates, Inc. investor protection violation2004$32,711
David Lerner Assoc. investor protection violation2004$100,000
Davenport & Co. LLC investor protection violation2004$738,000
Datek Online Brokerage Services, LLC investor protection violation2001$30,000
Dalton Kent Securities Group, Inc. investor protection violation2001$25,000
D.A. Davidson & Co. investor protection violation2010$375,000
D.A. Davidson & Co. investor protection violation2004$150,000
CyBerBroker, Inc. investor protection violation2001$20,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2001$100,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
Cresap, Inc. investor protection violation2004$99,458
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004$50,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004$770,000
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
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001$25,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
Cornerstone Securities Corporation investor protection violation2001$35,000
COR Clearing LLC anti-money-laundering deficiencies2013$1,000,000
Commonwealth Financial Network investor protection violation2015$582,521
Commonwealth Financial Network investor protection violation2005$1,400,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015$347,757
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.