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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
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
Yankee Financial Group, Inc. investor protection violation2005$3,800,000
Worldco, LLC investor protection violation2002$175,000
Worldco LLC investor protection violation2004$1,500,000
World Trade Financial Corporation anti-money-laundering deficiencies2013$250,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004$150,000
Workman Securities Corp. investor protection violation2011$700,000
Worden Capital Management LLC investor protection violation2020$1,550,000
WMA Securities, Inc. investor protection violation2000$125,000
WM Financial Services, Inc. investor protection violation2004$350,000
Windsor Capital Advisors, Inc. investor protection violation2001$20,000
Wheat First Securities Inc. investor protection violation2000$7,730,000
Westpark Capital, Inc. investor protection violation2010$400,000
Wells Investment Securities, Inc. investor protection violation2011$300,000
Wells Investment Securities, Inc. investor protection violation2003$150,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005$2,970,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005$3,000,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Wefunder Portal LLC investor protection violation2022$1,400,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
Webull Financial LLC investor protection violation2023$3,000,000
WaMu Investments, Inc. investor protection violation2008$250,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004$39,486
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004$650,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
VSR Financial Services, Inc. investor protection violation2016$400,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
vFinance Investments, Inc. investor protection violation2009$27,500
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
USAllianz SecuritiesAllianzfinancial servicesinvestor protection violation2006$5,000,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004$10,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005$10,000
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 Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
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
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002$250,000
Trillium Trading LLC investor protection violation2006$225,000
Trillium Brokerage Services, LLC investor protection violation2010$1,000,000
Triad Advisors investor protection violation2014$1,025,000
Transcend Capital, LP investor protection violation2004$10,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020$8,800,000
TradeStation Securities, Inc. investor protection violation2008$750,000
Tower Square Securities investor protection violation2002$4,500,000
Torrey Pines Securities, Inc. investor protection violation2001$14,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
The Huntington Investment Company investor protection violation2015$135,973
Terra Nova Financial, LLC investor protection violation2009$400,000
Tejas Securities Group, Inc. investor protection violation2005$10,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013$1,150,000
SWS Financial Services investor protection violation2009$70,000
SWS Financial Services investor protection violation2004$66,468
Swift Trade Securities USA, Inc. investor protection violation2002$101,000
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
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 Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005$100,000
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
Summit Trading, Inc. investor protection violation2001$20,000
Summit Brokerage Services, Inc. investor protection violation2019$880,000
Summit Brokerage Services, Inc. investor protection violation2016$500,000
Stone & Youngberg, LLC investor protection violation2005$110,000
StockCross Financial Services, Inc. investor protection violation2015$800,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.