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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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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Fleet Securities, Inc. investor protection violation2001$50,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$55,000
Salomon Whitney LLC investor protection violation2011$60,000
Leonard & Company investor protection violation2009$60,000
Brinker Capital Securities, Inc. investor protection violation2005$60,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2005$60,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2005$60,000
Charles Schwab & Co, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$60,869
Ramius Securities L.L.C. investor protection violation2001$61,000
Lehman Brothers, Inc. investor protection violation2001$65,000
SWS Financial Services investor protection violation2004$66,468
SWS Financial Services investor protection violation2009$70,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004$70,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2004$75,000
M.H. Meyerson, & Co., Inc. investor protection violation2002$75,000
NDB Capital Markets, LP investor protection violation2001$75,000
Momentum Securities, LLC investor protection violation2001$75,000
Asensio & Company, Inc. investor protection violation2000$75,000
Botta Trading, LLC investor protection violation2000$75,000
National Securities Corporation investor protection violation2005$85,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2005$90,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005$90,000
E-Trade SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2001$90,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2000$97,000
Cresap, Inc. investor protection violation2004$99,458
J.P. Turner & Company, LLC investor protection violation2015$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008$100,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2007$100,000
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007$100,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$100,000
Berean Capital Incorporated investor protection violation2006$100,000
First Avantus Securities, Inc. investor protection violation2005$100,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005$100,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2004$100,000
National Planning Corp. investor protection violation2004$100,000
SII Investments, Inc. investor protection violation2004$100,000
David Lerner Assoc. investor protection violation2004$100,000
Hornblower & Weeks, Inc. investor protection violation2002$100,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2001$100,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000$100,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
Swift Trade Securities USA, Inc. investor protection violation2002$101,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2004$109,527
First Clearing Corporation investor protection violation2005$110,000
Stephens, Inc. investor protection violation2005$110,000
Stone & Youngberg, LLC investor protection violation2005$110,000
David Lerner Associates, Inc. investor protection violation2005$115,000
Providential Securities, Inc. investor protection violation2000$115,000
First Trust Portfolios L.P investor protection violation2004$118,680
DebtTraders, Inc. investor protection violation2005$120,000
Lehman Brothers Inc. investor protection violation2004$123,882
A&F Financial Securities, Inc. investor protection violation2011$125,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$125,000
Farmers Financial Solutions LLC investor protection violation2004$125,000
InterSecurities, Inc. investor protection violation2004$125,000
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004$125,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2004$125,000
Quick & Reilly, Inc. investor protection violation2004$125,000
Stifel Nicolaus & CompanyStifel Financialfinancial servicesinvestor protection violation2004$125,000
WMA Securities, Inc. investor protection violation2000$125,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010$135,000
Sigma Financial Corporation investor protection violation2004$135,000
The Huntington Investment Company investor protection violation2015$135,973
H. Beck, Inc. investor protection violation2009$140,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$140,000
Stephens Inc. investor protection violation2015$150,000
First Midwest Securities, Inc. investor protection violation2011$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
Multi-Financial Securities Corporation investor protection violation2009$150,000
Harris Investor Services, Inc. investor protection violation2008$150,000
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
Leerink Swann & Company, Inc. investor protection violation2008$150,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
Green Street Advisors investor protection violation2005$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$150,000
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004$150,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004$150,000
D.A. Davidson & Co. investor protection violation2004$150,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
Wells Investment Securities, Inc. investor protection violation2003$150,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
Ko Securities, Inc. investor protection violation2001$162,450
Fagenson & Co., Inc. investor protection violation2010$165,000
LaSalle St. Securities, LLC investor protection violation2015$175,000
National Securities Corporation investor protection violation2011$175,000
Centaurus Financial, Inc. investor protection violation2009$175,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
Schonfeld & Company LLC investor protection violation2006$175,000
Nationwide Investment Services Corporation investor protection violation2004$175,000
Altegris Investments, Inc. investor protection violation2003$175,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.