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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
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$250,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2013$921,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013$1,425,000
Options Trading Associates, LLC investor protection violation2004$10,000
Pacific Cornerstone Capital investor protection violation2009$700,000
Pacific Crest Securities, Inc. investor protection violation2008$50,000
Park Avenue Securities LLC investor protection violation2015$743,255
Park Financial Group, Inc. anti-money-laundering deficiencies2009$400,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000$539,117
Penson Financial Services anti-money-laundering deficiencies2010$450,000
Penson Financial Services, Inc. investor protection violation2001$15,000
Pershing LLC investor protection violation2014$3,000,000
Pershing LLC investor protection violation2005$30,000
Pershing Trading Company, L.P. investor protection violation2001$20,000
PFS Investments, Inc. investor protection violation2004$450,000
Phoenix Derivatives Group, LLC investor protection violation2010$3,000,000
Pinnacle Capital Markets anti-money-laundering deficiencies2010$300,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010$700,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008$100,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$280,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$275,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004$2,400,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000$933,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016$50,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009$250,000
Pointe Capital, Inc. investor protection violation2011$300,000
Popular Securities, Inc. investor protection violation2005$40,000
Prager, Sealy & Co., LLC investor protection violation2005$30,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009$25,000
Providential Securities, Inc. investor protection violation2000$115,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012$11,250,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004$550,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004$11,500,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2004$17,306
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001$10,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
Pulse Trading, Inc. investor protection violation2004$20,000
Purshe Kaplan Sterling Investments investor protection violation2017$4,150,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
Quantlab Securities, L.P. investor protection violation2004$12,500
Quick & Reilly, Inc. investor protection violation2005$570,000
Quick & Reilly, Inc. investor protection violation2004$125,000
R.D. White & Co., Inc. investor protection violation2000$500,000
Rafferty Capital Markets, LLC investor protection violation2007$409,605
Ramius Securities L.L.C. investor protection violation2001$61,000
Ramius Securities LLC investor protection violation2001$10,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000$3,410,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005$90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$8,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016$17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011$2,115,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005$888,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2007$2,750,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$400,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015$1,434,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010$135,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005$2,108,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006$250,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,158,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,700,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004$150,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016$2,000,000
RD Capital Group investor protection violation2009$1,000,000
Robert W. Baird & Co. investor protection violation2009$934,510
Robert W. Baird & Co., Inc. investor protection violation2008$200,000
Robertson Stephens, Inc. investor protection violation2004$275,000
Robertson Stephens, Inc. investor protection violation2003(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $14,000,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021$69,600,000
Robinhood Financial, LLCRobinhood Marketsfinancial servicesinvestor protection violation2019$1,250,000
Rodman & Renshaw LLC investor protection violation2012$315,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$250,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$6,600,000
Salomon Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2002$5,000,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Whitney LLC investor protection violation2011$60,000
Sanford C. Bernstein & Co.Equitable Holdingsfinancial servicesinvestor protection violation2006$350,000
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2015$6,421,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011$2,000,000
Schonfeld & Company LLC investor protection violation2006$175,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001$12,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004$70,000
Scott & Stringfellow, Inc. investor protection violation2000$393,263
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009$600,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,600,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$300,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010$200,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2005$250,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$16,000
Scudder Distributors, Inc. investor protection violation2007$425,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.