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)
Companysort icon Parent Parent Major Industry Primary Offense Type Year Penalty Amount
1-800DAYTRADE.COM, Inc.   investor protection violation 2000 $25,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services investor protection violation 2000 $5,890,000
A&F Financial Securities, Inc.   investor protection violation 2011 $125,000
ABN AMRO Incorporated ABN AMRO financial services investor protection violation 2005 $220,000
Access Securities, Inc.   investor protection violation 2001 $14,000
Addison Securities, Inc.   investor protection violation 2000 $37,500
Advantage Capital Corp.   investor protection violation 2005 $450,000
Advantage Capital Corporation   investor protection violation 2009 $5,000
Advest, Inc.   investor protection violation 2005 $286,415
Aegis Capital Corp.   anti-money-laundering deficiencies 2018 $550,000
Aegis Capital Corp.   investor protection violation 2015 $950,000
Aegis Capital Corp.   investor protection violation 2001 $19,000
All-Tech Direct, Inc.   investor protection violation 2001 $250,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services investor protection violation 2005 $3,984,087
AllianceBernstein Investments, Inc. Equitable Holdings financial services investor protection violation 2007 $100,000
Allmerica Investments, Inc.   investor protection violation 2001 $15,000
Allstate Financial Services LLC Allstate financial services investor protection violation 2004 $150,000
Alpine Securities Corporation   investor protection violation 2010 $40,000
Altegris Investments, Inc.   investor protection violation 2003 $175,000
American Express Financial Advisors Ameriprise Financial financial services investor protection violation 2005 $13,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2004 $700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2002 $350,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services investor protection violation 2004 $300,000
American Fund Distributors   investor protection violation 2008 $5,000,000
American Funds Distributors Inc.   investor protection violation 2006 $5,000,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $1,100,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2016 $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2013 $750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $12,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $1,250,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2015 $278,544
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2009 $100,000
Ameritrade, Inc.   investor protection violation 2004 $10,000,000
Asensio & Company, Inc.   investor protection violation 2000 $75,000
Askar Corporation   investor protection violation 2011 $45,000
Atlas One Financial Group, LLC   anti-money-laundering deficiencies 2013 $350,000
Avenir Financial Group   investor protection violation 2016 $229,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2019 $772,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2015 $600,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2007 $2,600,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2005 $900,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
Banc of America Investment Services Inc. Bank of America financial services anti-money-laundering deficiencies 2007 $3,000,000
Banc of America Investment Services Inc. Bank of America financial services investor protection violation 2004 $200,000
Banc of America Investment Services, Inc. Bank of America financial services investor protection violation 2005 $90,000
Banc of America Securities LLC Bank of America financial services investor protection violation 2001 $40,000
Banc One Capital Markets, Inc.   investor protection violation 2001 $1,800,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2008 $225,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2005 $400,000
BancBoston Robertson Stephens Bank of America financial services investor protection violation 2001 $10,000
Banorte Securities International, Ltd.   investor protection violation 2008 $1,100,000
Banorte-Ixe Securities International, Ltd.   anti-money-laundering deficiencies 2014 $475,000
Barclays Capital Inc. Barclays financial services investor protection violation 2016 $1,300,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $5,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $1,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2013 $3,750,000
Barclays Capital Inc. Barclays financial services investor protection violation 2011 $3,000,000
Barclays Capital, Inc. Barclays financial services investor protection violation 2015 $13,750,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $4,950,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $280,469
Bear, Stearns & Co., Inc. JPMorgan Chase financial services investor protection violation 2008 $150,000
Berean Capital Incorporated   investor protection violation 2006 $100,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services investor protection violation 2014 $775,000
BMO Capital Markets Corp. Bank of Montreal financial services investor protection violation 2008 $150,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas financial services anti-money-laundering deficiencies 2019 $15,000,000
BNY Brokerage, Inc.   investor protection violation 2004 $12,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services investor protection violation 2008 $250,000
BOSC, Inc.   investor protection violation 2005 $30,000
Boston Capital Securities, Inc.   investor protection violation 2006 $1,200,000
Botta Trading, LLC   investor protection violation 2000 $75,000
Brecek & Young Advisors, Inc.   investor protection violation 2004 $31,224
Brinker Capital Securities, Inc.   investor protection violation 2005 $60,000
Broadpoint Capital, Inc.   investor protection violation 2008 $200,000
Brookstone Securities   investor protection violation 2012 $2,600,000
Brookville Capital Partners LLC   investor protection violation 2015 $1,500,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services anti-money-laundering deficiencies 2014 $8,000,000
BRUT LLC Nasdaq Inc. financial services investor protection violation 2006 $2,200,000
Buckman, Buckman & Reid, Inc.   investor protection violation 2019 $205,000
C.L. King & Associates, Inc.   investor protection violation 2017 $750,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   investor protection violation 2000 $1,180,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2019 $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2015 $7,300,000
Capital Financial Services   investor protection violation 2011 $200,000
Carlin Equities Corporation   investor protection violation 2004 $35,000
CCO Investment Services Corp. NatWest Group PLC financial services investor protection violation 2006 $850,000
Centaurus Financial, Inc.   investor protection violation 2009 $175,000
Cetera Advisor Networks LLC   investor protection violation 2016 $750,000
Cetera Advisor Networks LLC   investor protection violation 2015 $301,108
Cetera Advisors LLC   investor protection violation 2015 $702,622
Cetera Financial Specialists LLC   investor protection violation 2016 $350,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $60,869
Charles Schwab & Co. Charles Schwab Corp. financial services investor protection violation 2015 $2,000,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services investor protection violation 2014 $500,000
Charles Schwab & Company Charles Schwab Corp. financial services investor protection violation 2013 $500,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services investor protection violation 2011 $18,000,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $290,262
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $2,000,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $250,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $32,500
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2005 $60,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)