Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,386,650,318
Number of Records: 
728

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$131,724,25740
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
UBS$52,763,25014
Raymond James Financial$46,353,00011
Credit Suisse$36,835,00012
MetLife$33,424,7488


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Primary Offense Type Year Penalty Amountsort icon
Robinhood Financial LLC Robinhood Markets financial services investor protection violation 2021 $69,600,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 (*) $50,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2002 (*) $50,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2014 $32,400,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2016 $25,000,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services investor protection violation 2015 $18,500,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services investor protection violation 2011 $18,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services anti-money-laundering deficiencies 2016 $17,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services anti-money-laundering deficiencies 2016 $16,500,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $16,300,000
Waddell & Reed, Inc. Macquarie financial services investor protection violation 2005 (*) $16,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2007 $15,200,000
Interactive Brokers LLC Interactive Brokers Group financial services anti-money-laundering deficiencies 2020 $15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas financial services anti-money-laundering deficiencies 2019 $15,000,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2015 $15,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2014 $15,000,000
David Lerner Associates, Inc.   investor protection violation 2012 $14,300,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2005 $14,000,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2003 (*) $14,000,000
Barclays Capital, Inc. Barclays financial services investor protection violation 2015 $13,750,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2015 $13,500,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2017 $13,030,000
American Express Financial Advisors Ameriprise Financial financial services investor protection violation 2005 $13,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $12,500,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2007 $12,500,000
Knight Securities, L.P. Virtu Financial financial services investor protection violation 2004 $12,500,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $12,300,000
UBS Securities LLC UBS financial services investor protection violation 2011 $12,000,000
First Command Financial Planning Inc.   investor protection violation 2004 $12,000,000
LH Ross   investor protection violation 2005 $11,968,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $11,700,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2021 $11,650,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services investor protection violation 2004 $11,500,000
Pruco Securities, LLC Prudential Financial financial services investor protection violation 2012 $11,250,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2012 (*) $11,000,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2011 $10,750,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services anti-money-laundering deficiencies 2018 $10,000,000
Ameritrade, Inc.   investor protection violation 2004 $10,000,000
Newedge USA, LLC   investor protection violation 2013 $9,500,000
LPL Financial LLC LPL Financial financial services investor protection violation 2013 $9,000,000
Transamerica Financial Advisors, Inc. Aegon financial services investor protection violation 2020 $8,800,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2015 $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2019 $8,000,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services anti-money-laundering deficiencies 2014 $8,000,000
Wheat First Securities Inc.   investor protection violation 2000 $7,730,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2010 $7,500,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2015 $7,300,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2020 $7,200,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2009 $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2016 $7,030,000
ING America Insurance Holdings Inc. Voya Financial financial services investor protection violation 2006 $7,000,000
John Nuveen & Co., Inc. TIAA financial services investor protection violation 2000 $6,630,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $6,600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2019 $6,500,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2013 $6,500,000
Santander Securities LLC Banco Santander financial services investor protection violation 2015 $6,421,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $6,300,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2005 $6,250,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2007 $6,100,000
Morgan Stanley DW, Inc. Morgan Stanley financial services investor protection violation 2005 $6,100,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2018 $6,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $6,000,000
Merrill Lynch Bank of America financial services investor protection violation 2014 $6,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2003 $6,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services securities issuance or trading violation 2018 $5,990,530
A.G. Edwards & Sons, Inc. Wells Fargo financial services investor protection violation 2000 $5,890,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2018 $5,500,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2006 $5,500,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2004 $5,390,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services anti-money-laundering deficiencies 2018 $5,300,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,290,000
UBS Financial Services Inc. and UBS Securities LLC UBS financial services anti-money-laundering deficiencies 2018 $5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2016 $5,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $5,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $5,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2014 $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2014 $5,000,000
JP Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2014 $5,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2014 $5,000,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2011 $5,000,000
American Fund Distributors   investor protection violation 2008 $5,000,000
USAllianz Securities Allianz financial services investor protection violation 2006 $5,000,000
MetLife, Inc. MetLife financial services investor protection violation 2006 $5,000,000
American Funds Distributors Inc.   investor protection violation 2006 $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2006 $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2004 $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,000,000
Miller Tabak Roberts Securities, LLC   investor protection violation 2004 $5,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2004 $5,000,000
Salomon Smith Barney Morgan Stanley financial services investor protection violation 2002 $5,000,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $4,950,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2019 $4,600,000
VOYA Financial Advisors Inc. Voya Financial financial services investor protection violation 2016 $4,550,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 $4,500,000
Wachovia Securities Wells Fargo financial services investor protection violation 2009 $4,500,000
Oppenheimer & Co. Oppenheimer Holdings financial services investor protection violation 2008 $4,500,000
Tower Square Securities   investor protection violation 2002 $4,500,000
SG Americas Securities, LLC Societe Generale financial services investor protection violation 2005 $4,478,000
First Chicago Capital Markets, Inc.   investor protection violation 2000 $4,420,000
Metropolitan Investment Securities, Inc.   investor protection violation 2003 $4,300,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)