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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
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
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
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
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012$11,250,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004$550,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2004$17,306
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004$11,500,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$8,000,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
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.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2007$2,750,000
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 violation2005$888,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$400,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000$3,410,000
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
Robinhood Financial, LLCRobinhood Marketsfinancial servicesinvestor protection violation2019$1,250,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021$69,600,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015$1,434,000
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
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 Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006$250,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005$2,108,000
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
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013$675,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2005$4,478,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005$1,400,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014$1,025,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
Stifel Nicolaus & CompanyStifel Financialfinancial servicesinvestor protection violation2004$125,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001$225,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011$3,000,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004$800,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
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 Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005$100,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014$5,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011$10,750,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005$10,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004$50,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004$70,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004$10,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004$770,000
Credit Suisse First Boston CorporationUBSfinancial 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. $50,000,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.