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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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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$200,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$495,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$1,600,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016$25,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015$649,748
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009$1,200,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
MetLife Securities, IncMetLifefinancial servicesinvestor protection violation2006$500,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006$5,000,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004$375,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004$200,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
MML Investor Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2004$250,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
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
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$280,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$6,300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$11,700,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2014$950,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013$9,000,000
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005$363,500
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011$600,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$950,000
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$688,697
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004$125,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000$100,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$1,100,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014$5,000,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011$3,600,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$32,500
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2006$500,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$290,262
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2005$60,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$150,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$2,000,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2005$400,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004$250,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$4,950,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$280,469
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
Chase Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$13,500,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2006$250,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2005$300,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004$300,000
Edward JonesJones Financialfinancial servicesinvestor protection violation2004$25,181
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2008$50,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006$5,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$15,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018$5,500,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017$450,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010$375,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010$1,500,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007$250,000
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
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000$500,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004$825,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$5,000,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014$800,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$1,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2010$650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$140,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$125,000
Spear, Leeds & Kellogg, L.PGoldman Sachsfinancial servicesinvestor protection violation2005$1,000,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2004$75,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial 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
Spear, Leeds & KelloggGoldman Sachsfinancial servicesinvestor protection violation2001$10,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$963,534
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.