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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
Scudder Distributors, Inc. investor protection violation2007$425,000
Securities AmericaReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014$625,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015$752,686
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2011$250,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$55,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007$322,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$16,300,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$2,400,000
Sentinel Financial Services Company investor protection violation2004$700,000
Sentra Securities Corporation and Spelman & Co., Inc. investor protection violation2005$780,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013$675,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2005$4,478,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004$800,000
SIGMA Financial Corporation investor protection violation2009$50,000
Sigma Financial Corporation investor protection violation2004$135,000
SII Investments, Inc. investor protection violation2005$658,500
SII Investments, Inc. investor protection violation2004$100,000
SMH Capital Inc. investor protection violation2008$450,000
SoFi Securities LLC investor protection violation2023$698,282
SogoTrade, Inc. investor protection violation2023$204,767
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000$500,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$650,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$500,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004$36,971
Spear, Leeds & KelloggGoldman Sachsfinancial servicesinvestor protection violation2001$10,000
Spear, Leeds & Kellogg, L.PGoldman Sachsfinancial servicesinvestor protection violation2005$1,000,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2004$75,000
Spelman & Co. investor protection violation2009$10,000
StartEngine Capital LLC investor protection violation2022$350,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005$1,400,000
State Street Research Investment Services, Inc.BlackRockfinancial servicesinvestor protection violation2004$1,500,000
StateTrust Investments, Inc. investor protection violation2013$1,398,000
Stephen L. Falk & Associates, Inc. investor protection violation2009$7,500
Stephens Inc. investor protection violation2016$900,000
Stephens Inc. investor protection violation2015$150,000
Stephens, Inc. investor protection violation2005$110,000
Sterling Financial Investment Group investor protection violation2002$40,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014$1,025,000
Stifel Nicolaus & CompanyStifel Financialfinancial servicesinvestor protection violation2004$125,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001$225,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
StockCross Financial Services, Inc. investor protection violation2015$800,000
Stone & Youngberg, LLC investor protection violation2005$110,000
Summit Brokerage Services, Inc. investor protection violation2019$880,000
Summit Brokerage Services, Inc. investor protection violation2016$500,000
Summit Trading, Inc. investor protection violation2001$20,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009$300,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2005$2,500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2004$100,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005$100,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011$5,000,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
Swift Trade Securities USA, Inc. investor protection violation2002$101,000
SWS Financial Services investor protection violation2009$70,000
SWS Financial Services investor protection violation2004$66,468
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013$1,150,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
Tejas Securities Group, Inc. investor protection violation2005$10,000
Terra Nova Financial, LLC investor protection violation2009$400,000
The Huntington Investment Company investor protection violation2015$135,973
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
Torrey Pines Securities, Inc. investor protection violation2001$14,000
Tower Square Securities investor protection violation2002$4,500,000
TradeStation Securities, Inc. investor protection violation2008$750,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020$8,800,000
Transcend Capital, LP investor protection violation2004$10,000
Triad Advisors investor protection violation2014$1,025,000
Trillium Brokerage Services, LLC investor protection violation2010$1,000,000
Trillium Trading LLC investor protection violation2006$225,000
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002$250,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial 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
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011$10,750,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005$10,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004$10,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
USAllianz SecuritiesAllianzfinancial servicesinvestor protection violation2006$5,000,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
vFinance Investments, Inc. investor protection violation2009$27,500
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
VSR Financial Services, Inc. investor protection violation2016$400,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.