Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearPenalty Amount
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015$752,686
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 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
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$250,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$16,300,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$1,100,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$6,600,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$2,400,000
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$1,200,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$15,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$4,600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$280,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$280,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
Robinhood Financial, LLCRobinhood Marketsfinancial servicesinvestor protection violation2019$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$8,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasfinancial servicesanti-money-laundering deficiencies2019$15,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$1,100,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$1,250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$772,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$2,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2018$10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018$5,990,530
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018$5,500,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
E-Trade Securities, LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$350,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$11,500,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$13,030,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$1,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017$450,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016$2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016$1,500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016$750,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016$50,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$7,030,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$3,425,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$2,800,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016$850,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016$5,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$2,966,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016$17,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016$25,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
Barclays Capital, Inc.Barclaysfinancial servicesinvestor protection violation2015$13,750,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015$7,300,000
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2015$1,030,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,600,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$13,500,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015$1,200,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015$600,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$963,534
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015$649,748
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015$347,757
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$278,544
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2015$6,421,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,000,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$8,700,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$6,300,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$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.