RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. | Royal Bank of Canada | investor protection violation | 2016 | FINRA | $3,500,000 |
RBS Securities, Inc. | NatWest Group PLC | investor protection violation | 2016 | FINRA | $2,000,000 |
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC | Wells Fargo | investor protection violation | 2016 | FINRA | $1,500,000 |
SunTrust Robinson Humphrey, Inc. | Truist Financial | investor protection violation | 2016 | FINRA | $1,500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2016 | FINRA | $750,000 |
PNC Capital Markets LLC | PNC Financial Services | investor protection violation | 2016 | FINRA | $50,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $3,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2016 | FINRA | $7,030,000 |
VALIC Financial Advisors, Inc. | American International Group | investor protection violation | 2016 | FINRA | $1,750,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $3,425,000 |
VOYA Financial Advisors Inc. | Voya Financial | investor protection violation | 2016 | FINRA | $4,550,000 |
Merrill Lynch, Pierce, Fenner and Smith Inc. | Bank of America | investor protection violation | 2016 | FINRA | $2,800,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2016 | FINRA | $850,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $12,500,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2016 | FINRA | $1,300,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | investor protection violation | 2016 | FINRA | $950,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2016 | FINRA | $6,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2016 | FINRA | $5,000,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2016 | FINRA | $2,966,000 |
E-Trade Securities LLC | Morgan Stanley | investor protection violation | 2016 | FINRA | $900,000 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2016 | FINRA | $25,000,000 |
Wedbush Securities Inc. | Wedbush Securities | investor protection violation | 2016 | FINRA | $675,000 |
Barclays Capital, Inc. | Barclays | investor protection violation | 2015 | FINRA | $13,750,000 |
Macquarie Capital (USA) Inc. | Macquarie | investor protection violation | 2015 | FINRA | $2,950,000 |
Cantor Fitzgerald & Co. | Cantor Fitzgerald | investor protection violation | 2015 | FINRA | $7,300,000 |
Fidelity Brokerage Services LLC | Fidelity Investments | investor protection violation | 2015 | FINRA | $1,030,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2015 | FINRA | $1,400,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $2,600,000 |
Edward D. Jones & Co., L.P. | Jones Financial | investor protection violation | 2015 | FINRA | $13,500,000 |
Stifel Nicolaus & Company, Inc. | Stifel Financial | investor protection violation | 2015 | FINRA | $2,900,000 |
Janney Montgomery Scott, LLC | Penn Mutual | investor protection violation | 2015 | FINRA | $1,200,000 |
AXA Advisors, LLC | Equitable Holdings | investor protection violation | 2015 | FINRA | $600,000 |
Fifth Third Securities, Inc. | Fifth Third Bancorp | investor protection violation | 2015 | FINRA | $963,534 |
MetLife Securities, Inc. | MetLife | investor protection violation | 2015 | FINRA | $649,748 |
Comerica Securities | Comerica | investor protection violation | 2015 | FINRA | $347,757 |
Ameritas Investment Corp. | Ameritas Mutual Holding Company | investor protection violation | 2015 | FINRA | $278,544 |
Santander Securities LLC | Banco Santander | investor protection violation | 2015 | FINRA | $6,421,000 |
UBS Financial Services Incorporated of Puerto Rico | UBS | investor protection violation | 2015 | FINRA | $18,500,000 |
Charles Schwab & Co. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $2,000,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2015 | FINRA | $1,800,000 |
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC | Wells Fargo | investor protection violation | 2015 | FINRA | $15,000,000 |
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. | Raymond James Financial | investor protection violation | 2015 | FINRA | $8,700,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | FINRA | $6,300,000 |
Morgan Stanley Smith Barney, LLC | Morgan Stanley | investor protection violation | 2015 | FINRA | $650,000 |
Scottrade, Inc. | Charles Schwab Corp. | investor protection violation | 2015 | FINRA | $300,000 |
Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2015 | FINRA | $2,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2015 | FINRA | $11,700,000 |
RBC Capital Markets | Royal Bank of Canada | investor protection violation | 2015 | FINRA | $1,434,000 |
Oppenheimer & Co. Inc. | Oppenheimer Holdings | investor protection violation | 2015 | FINRA | $3,750,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2014 | FINRA | $2,440,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $5,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $5,000,000 |
Credit Suisse Securities (USA), LLC | UBS | investor protection violation | 2014 | FINRA | $5,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2014 | FINRA | $5,000,000 |
JP Morgan Securities LLC | JPMorgan Chase | investor protection violation | 2014 | FINRA | $5,000,000 |
Deutsche Bank Securities Inc. | Deutsche Bank | investor protection violation | 2014 | FINRA | $4,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2014 | FINRA | $4,000,000 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $4,000,000 |
Wells Fargo Securities, LLC | Wells Fargo | investor protection violation | 2014 | FINRA | $4,000,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2014 | FINRA | $15,000,000 |
Merrill Lynch | Bank of America | investor protection violation | 2014 | FINRA | $6,000,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $2,488,000 |
Goldman Sachs Execution & Clearing, L.P. | Goldman Sachs | investor protection violation | 2014 | FINRA | $800,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2014 | FINRA | $32,400,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2014 | FINRA | $1,000,000 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2014 | FINRA | $1,000,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2014 | FINRA | $1,000,000 |
Morgan Stanley Smith Barney LLC | Morgan Stanley | investor protection violation | 2014 | FINRA | $5,000,000 |
Charles Schwab & Co., Inc. | Charles Schwab Corp. | investor protection violation | 2014 | FINRA | $500,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2014 | FINRA | $950,000 |
Citigroup Global Markets Inc. | Citigroup | investor protection violation | 2014 | FINRA | $1,097,000 |
Berthel Fisher & Company Financial Services, Inc. | Berthel Fisher | investor protection violation | 2014 | FINRA | $775,000 |
Stifel Financial Corporation | Stifel Financial | investor protection violation | 2014 | FINRA | $1,025,000 |
Barclays Capital Inc. | Barclays | investor protection violation | 2013 | FINRA | $3,750,000 |
Deutsche Bank Securities, Inc. | Deutsche Bank | investor protection violation | 2013 | FINRA | $6,500,000 |
Oppenheimer & Co., Inc. | Oppenheimer Holdings | investor protection violation | 2013 | FINRA | $921,000 |
TD Ameritrade Clearing, Inc. | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $1,150,000 |
SG Americas Securities, Inc. | Societe Generale | investor protection violation | 2013 | FINRA | $675,000 |
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC | Morgan Stanley | investor protection violation | 2013 | FINRA | $1,188,000 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2013 | FINRA | $3,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated | Bank of America | investor protection violation | 2013 | FINRA | $2,000,000 |
LPL Financial LLC | LPL Financial | investor protection violation | 2013 | FINRA | $9,000,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2013 | FINRA | $1,373,000 |
Ameriprise Financial Services, Inc. | Ameriprise Financial | investor protection violation | 2013 | FINRA | $750,000 |
Charles Schwab & Company | Charles Schwab Corp. | investor protection violation | 2013 | FINRA | $500,000 |
ING Groep N.V. | Voya Financial | investor protection violation | 2013 | FINRA | $1,200,000 |
Citigroup | Citigroup | investor protection violation | 2012 | FINRA | $1,279,106 |
Goldman Sachs | Goldman Sachs | investor protection violation | 2012 | FINRA | $683,997 |
JP Morgan | JPMorgan Chase | investor protection violation | 2012 | FINRA | $623,376 |
Merrill Lynch | Bank of America | investor protection violation | 2012 | FINRA | $1,074,200 |
Morgan Stanley | Morgan Stanley | investor protection violation | 2012 | FINRA | $817,754 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2012 | FINRA | $11,250,000 |
Merrill Lynch, Pierce, Fenner & Smith Inc. | Bank of America | investor protection violation | 2012 | FINRA | $500,000 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | Bank of America | investor protection violation | 2012 | FINRA | $2,800,000 |
Citigroup Global Markets, Inc. | Citigroup | investor protection violation | 2012 | FINRA | $3,500,000 |
Citigroup Global Markets, Inc | Citigroup | investor protection violation | 2012 | FINRA | $2,741,489 |
Morgan Stanley & Co., LLC | Morgan Stanley | investor protection violation | 2012 | FINRA | $2,146,431 |
UBS Financial Services | UBS | investor protection violation | 2012 | FINRA | $2,354,584 |
Wells Fargo Advisors, LLC | Wells Fargo | investor protection violation | 2012 | FINRA | $1,931,488 |
Goldman, Sachs & Co. | Goldman Sachs | investor protection violation | 2012 | FINRA | (*)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 |
Merrill Lynch, Pierce, Fenner & Smith | Bank of America | investor protection violation | 2012 | FINRA | $1,000,000 |