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Violation Tracker Agency Summary Page

Agency Name: Financial Industry Regulatory Authority
Penalty Total since 2000: $1,460,168,409
Number of Records: 743
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
1-800DAYTRADE.COM, Inc. investor protection violation2000$25,000
A&F Financial Securities, Inc. investor protection violation2011$125,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000$5,890,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2005$220,000
Access Securities, Inc. investor protection violation2001$14,000
Addison Securities, Inc. investor protection violation2000$37,500
Advantage Capital Corp. investor protection violation2005$450,000
Advantage Capital Corporation investor protection violation2009$5,000
Advest, Inc. investor protection violation2005$286,415
Aegis Capital Corp. anti-money-laundering deficiencies2018$550,000
Aegis Capital Corp. investor protection violation2015$950,000
Aegis Capital Corp. investor protection violation2001$19,000
Aegis Capital Corp. investor protection violation2021$2,800,000
All-Tech Direct, Inc. investor protection violation2001$250,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005$3,984,087
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007$100,000
Allmerica Investments, Inc. investor protection violation2001$15,000
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004$150,000
Alpine Securities Corporation investor protection violation2010$40,000
Altegris Investments, Inc. investor protection violation2003$175,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesinvestor protection violation2005$13,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$700,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002$350,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$300,000
American Fund Distributors investor protection violation2008$5,000,000
American Funds Distributors Inc. investor protection violation2006$5,000,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$1,100,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016$850,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$12,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$1,250,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$10,000,000
Asensio & Company, Inc. investor protection violation2000$75,000
Askar Corporation investor protection violation2011$45,000
Atlas One Financial Group, LLC anti-money-laundering deficiencies2013$350,000
Avenir Financial Group investor protection violation2016$229,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$772,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015$600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2005$900,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007$3,000,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004$200,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2005$90,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2001$40,000
Banc One Capital Markets, Inc. investor protection violation2001$1,800,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2005$400,000
BancBoston Robertson Stephens investor protection violation2001$10,000
Banorte Securities International, Ltd. investor protection violation2008$1,100,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014$475,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$5,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$1,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013$3,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2011$3,000,000
Barclays Capital, Inc.Barclaysfinancial servicesinvestor protection violation2015$13,750,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$280,469
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008$150,000
Berean Capital Incorporated investor protection violation2006$100,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2014$775,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008$150,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasfinancial servicesanti-money-laundering deficiencies2019$15,000,000
BNY Brokerage, Inc. investor protection violation2004$12,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008$250,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2022$5,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023$24,000,000
BOSC, Inc. investor protection violation2005$30,000
Boston Capital Securities, Inc. investor protection violation2006$1,200,000
Botta Trading, LLC investor protection violation2000$75,000
Brecek & Young Advisors, Inc. investor protection violation2004$31,224
Brinker Capital Securities, Inc. investor protection violation2005$60,000
Broadpoint Capital, Inc. investor protection violation2008$200,000
Brookstone Securities investor protection violation2012$2,600,000
Brookville Capital Partners LLC investor protection violation2015$1,500,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesanti-money-laundering deficiencies2014$8,000,000
BRUT LLCNasdaq Inc.financial servicesinvestor protection violation2006$2,200,000
Buckman, Buckman & Reid, Inc. investor protection violation2019$205,000
C.L. King & Associates, Inc. investor protection violation2017$750,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. investor protection violation2000$1,180,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015$7,300,000
Capital Financial Services investor protection violation2011$200,000
Carlin Equities Corporation investor protection violation2004$35,000
CCO Investment Services Corp.Citizens Financial Groupfinancial servicesinvestor protection violation2006$850,000
Centaurus Financial, Inc. investor protection violation2009$175,000
Cetera Advisor Networks LLC investor protection violation2016$750,000
Cetera Advisor Networks LLC investor protection violation2015$301,108
Cetera Advisors LLC investor protection violation2015$702,622
Cetera Financial Specialists LLC investor protection violation2016$350,000
Charles Schwab & Co, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$60,869
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2014$500,000
Charles Schwab & CompanyCharles Schwab Corp.financial servicesinvestor protection violation2013$500,000
Charles Schwab & Company, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$18,000,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$290,262
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.