Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,386,650,318
Number of Records: 
728

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$131,724,25740
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
UBS$52,763,25014
Raymond James Financial$46,353,00011
Credit Suisse$36,835,00012
MetLife$33,424,7488


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parentsort icon Parent Major Industry Primary Offense Type Year Penalty Amount
First Clearing Corporation   investor protection violation 2005 $110,000
DebtTraders, Inc.   investor protection violation 2005 $120,000
Green Street Advisors   investor protection violation 2005 $150,000
Instinet, LLC and INET ATS, Inc.   investor protection violation 2005 $1,475,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   investor protection violation 2005 $1,520,000
Commonwealth Financial Network   investor protection violation 2005 $1,400,000
National Planning Corporation Inc.   investor protection violation 2005 $1,308,000
Mutual Service Corporation   investor protection violation 2005 $1,300,000
SII Investments, Inc.   investor protection violation 2005 $658,500
Lord Abbett Distributor, LLC   investor protection violation 2005 $255,000
First Allied Securities, Inc.   investor protection violation 2005 $734,500
David Lerner Associates, Inc.   investor protection violation 2005 $115,000
Hantz Financial Services, Inc.   investor protection violation 2005 $675,000
Hornor, Townsend & Kent, Inc.   investor protection violation 2005 $325,000
Stephens, Inc.   investor protection violation 2005 $110,000
Stone & Youngberg, LLC   investor protection violation 2005 $110,000
Brinker Capital Securities, Inc.   investor protection violation 2005 $60,000
Emmet & Co., Inc.   investor protection violation 2005 $40,000
Loop Capital Markets, LLC   investor protection violation 2005 $40,000
Popular Securities, Inc.   investor protection violation 2005 $40,000
BOSC, Inc.   investor protection violation 2005 $30,000
Pershing LLC   investor protection violation 2005 $30,000
Prager, Sealy & Co., LLC   investor protection violation 2005 $30,000
Tejas Securities Group, Inc.   investor protection violation 2005 $10,000
H.D. Vest Investment Services   investor protection violation 2005 $4,015,000
Linsco/Private Ledger Corp.   investor protection violation 2005 $3,602,398
FSC Securities Corp.   investor protection violation 2005 $2,400,000
McDonald Investments Inc.   investor protection violation 2005 $1,500,000
Sentra Securities Corporation and Spelman & Co., Inc.   investor protection violation 2005 $780,000
Advantage Capital Corp.   investor protection violation 2005 $450,000
Advest, Inc.   investor protection violation 2005 $286,415
Quick & Reilly, Inc.   investor protection violation 2005 $570,000
LH Ross   investor protection violation 2005 $11,968,000
Yankee Financial Group, Inc.   investor protection violation 2005 $3,800,000
First Command Financial Planning Inc.   investor protection violation 2004 $12,000,000
Sigma Financial Corporation   investor protection violation 2004 $135,000
LINSCO/Private Ledger Corp.   investor protection violation 2004 $450,000
PFS Investments, Inc.   investor protection violation 2004 $450,000
WM Financial Services, Inc.   investor protection violation 2004 $350,000
J.P. Turner & Company, LLC   investor protection violation 2004 $185,000
Financial Network Investment Corp.   investor protection violation 2004 $185,000
Farmers Financial Solutions LLC   investor protection violation 2004 $125,000
InterSecurities, Inc.   investor protection violation 2004 $125,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2004 $125,000
Quick & Reilly, Inc.   investor protection violation 2004 $125,000
Sentinel Financial Services Company   investor protection violation 2004 $700,000
BNY Brokerage, Inc.   investor protection violation 2004 $12,000
Carlin Equities Corporation   investor protection violation 2004 $35,000
Delta Asset Management Company, L.L.C.   investor protection violation 2004 $15,000
Doyle, Miles & Co., L.L.C.   investor protection violation 2004 $12,500
FutureTrade Securities, L.L.C   investor protection violation 2004 $35,000
Index Securities, LLC   investor protection violation 2004 $11,000
Mid-Atlantic Capital Corporation   investor protection violation 2004 $10,000
Options Trading Associates, LLC   investor protection violation 2004 $10,000
Pulse Trading, Inc.   investor protection violation 2004 $20,000
Quantlab Securities, L.P.   investor protection violation 2004 $12,500
Transcend Capital, LP   investor protection violation 2004 $10,000
National Securities Corp.   investor protection violation 2004 $600,000
Miller Tabak Roberts Securities, LLC   investor protection violation 2004 $5,000,000
First Trust Portfolios L.P   investor protection violation 2004 $118,680
D.A. Davidson & Co.   investor protection violation 2004 $150,000
National Planning Corp.   investor protection violation 2004 $100,000
SII Investments, Inc.   investor protection violation 2004 $100,000
Davenport & Co. LLC   investor protection violation 2004 $738,000
Nationwide Investment Services Corporation   investor protection violation 2004 $175,000
David Lerner Assoc.   investor protection violation 2004 $100,000
Ameritrade, Inc.   investor protection violation 2004 $10,000,000
Cresap, Inc.   investor protection violation 2004 $99,458
SWS Financial Services   investor protection violation 2004 $66,468
Kirkpatrick, Pettis, Smith, Polian Inc.   investor protection violation 2004 $39,935
David Lerner Associates, Inc.   investor protection violation 2004 $32,711
Brecek & Young Advisors, Inc.   investor protection violation 2004 $31,224
Worldco LLC   investor protection violation 2004 $1,500,000
Metropolitan Investment Securities, Inc.   investor protection violation 2003 $4,300,000
Wells Investment Securities, Inc.   investor protection violation 2003 $150,000
Altegris Investments, Inc.   investor protection violation 2003 $175,000
Fiero Brothers, Inc.   investor protection violation 2002 $1,000,000
Sterling Financial Investment Group   investor protection violation 2002 $40,000
Swift Trade Securities USA, Inc.   investor protection violation 2002 $101,000
Hornblower & Weeks, Inc.   investor protection violation 2002 $100,000
M.H. Meyerson, & Co., Inc.   investor protection violation 2002 $75,000
Tower Square Securities   investor protection violation 2002 $4,500,000
Worldco, LLC   investor protection violation 2002 $175,000
Mutual Service Corporation, Inc.   investor protection violation 2001 $35,000
National Financial Services, L.L.C.   investor protection violation 2001 $30,000
Windsor Capital Advisors, Inc.   investor protection violation 2001 $20,000
Pershing Trading Company, L.P.   investor protection violation 2001 $20,000
Gerard Klauer Mattison & Co., Inc.   investor protection violation 2001 $10,000
Ko Securities, Inc.   investor protection violation 2001 $162,450
Fleet Securities, Inc.   investor protection violation 2001 $50,000
NDB Capital Markets LP   investor protection violation 2001 $250,000
Herzog, Heine, Geduld, Inc.   investor protection violation 2001 $18,000
Access Securities, Inc.   investor protection violation 2001 $14,000
Aegis Capital Corp.   investor protection violation 2001 $19,000
Dalton Kent Securities Group, Inc.   investor protection violation 2001 $25,000
Ramius Securities L.L.C.   investor protection violation 2001 $61,000
Torrey Pines Securities, Inc.   investor protection violation 2001 $14,000
NDB Capital Markets, LP   investor protection violation 2001 $75,000
Fleet Securities, Inc.   investor protection violation 2001 $40,000
Herzog, Heine, Geduld, Inc.   investor protection violation 2001 $40,000
ING Barings LLC   investor protection violation 2001 $20,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)