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
Worden Capital Management LLC   investor protection violation 2020 $1,550,000
Lek Securities Corporation   investor protection violation 2019 $900,000
Summit Brokerage Services, Inc.   investor protection violation 2019 $880,000
Buckman, Buckman & Reid, Inc.   investor protection violation 2019 $205,000
TradeStation Securities, Inc.   investor protection violation 2008 $750,000
Instinet, LLC   investor protection violation 2018 $1,575,000
Aegis Capital Corp.   anti-money-laundering deficiencies 2018 $550,000
C.L. King & Associates, Inc.   investor protection violation 2017 $750,000
Purshe Kaplan Sterling Investments   investor protection violation 2017 $4,150,000
Georgeson Securities Corporation   investor protection violation 2016 $650,000
Cetera Advisor Networks LLC   investor protection violation 2016 $750,000
Cetera Financial Specialists LLC   investor protection violation 2016 $350,000
First Allied Securities, Inc.   investor protection violation 2016 $950,000
Summit Brokerage Services, Inc.   investor protection violation 2016 $500,000
VSR Financial Services, Inc.   investor protection violation 2016 $400,000
Kestra Investment Services, LLC   investor protection violation 2016 $475,000
FTB Advisors, Inc.   investor protection violation 2016 $250,000
Avenir Financial Group   investor protection violation 2016 $229,000
Stephens Inc.   investor protection violation 2016 $900,000
Stephens Inc.   investor protection violation 2015 $150,000
First Allied Securities, Inc.   investor protection violation 2015 $1,014,647
Cetera Advisors LLC   investor protection violation 2015 $702,622
Park Avenue Securities LLC   investor protection violation 2015 $743,255
Commonwealth Financial Network   investor protection violation 2015 $582,521
Cetera Advisor Networks LLC   investor protection violation 2015 $301,108
Infinex Investments, Inc.   investor protection violation 2015 $259,627
The Huntington Investment Company   investor protection violation 2015 $135,973
StockCross Financial Services, Inc.   investor protection violation 2015 $800,000
Aegis Capital Corp.   investor protection violation 2015 $950,000
H. Beck, Inc.   investor protection violation 2015 $425,000
LaSalle St. Securities, LLC   investor protection violation 2015 $175,000
J.P. Turner & Company, LLC   investor protection violation 2015 $100,000
First New York Securities L.L.C.   investor protection violation 2015 $916,000
Brookville Capital Partners LLC   investor protection violation 2015 $1,500,000
John Thomas Financial   investor protection violation 2015 $1,147,288
Monex Securities Inc.   investor protection violation 2014 $1,275,000
Pershing LLC   investor protection violation 2014 $3,000,000
Needham & Company LLC   investor protection violation 2014 $2,500,000
Triad Advisors   investor protection violation 2014 $1,025,000
Banorte-Ixe Securities International, Ltd.   anti-money-laundering deficiencies 2014 $475,000
COR Clearing LLC   anti-money-laundering deficiencies 2013 $1,000,000
J.P. Turner & Company, L.L.C.   investor protection violation 2013 $707,559
Newedge USA, LLC   investor protection violation 2013 $9,500,000
StateTrust Investments, Inc.   investor protection violation 2013 $1,398,000
Atlas One Financial Group, LLC   anti-money-laundering deficiencies 2013 $350,000
Firstrade Securities, Inc.   anti-money-laundering deficiencies 2013 $300,000
World Trade Financial Corporation   anti-money-laundering deficiencies 2013 $250,000
David Lerner Associates, Inc.   investor protection violation 2012 $14,300,000
Guggenheim Securities, LLC   investor protection violation 2012 $800,000
Hold Brothers On-Line Investment Services, LLC   investor protection violation 2012 $3,400,000
Rodman & Renshaw LLC   investor protection violation 2012 $315,000
Brookstone Securities   investor protection violation 2012 $2,600,000
Citi International Financial Services LLC   investor protection violation 2012 $1,248,000
Investors Capital Corporation   investor protection violation 2011 $400,000
Garden State Securities, Inc.   investor protection violation 2011 $300,000
Capital Financial Services   investor protection violation 2011 $200,000
National Securities Corporation   investor protection violation 2011 $175,000
Equity Services, Inc.   investor protection violation 2011 $214,000
Newbridge Securities Corporation   investor protection violation 2011 $25,000
Wells Investment Securities, Inc.   investor protection violation 2011 $300,000
Pointe Capital, Inc.   investor protection violation 2011 $300,000
John Thomas Financial   investor protection violation 2011 $275,000
First Midwest Securities, Inc.   investor protection violation 2011 $150,000
A&F Financial Securities, Inc.   investor protection violation 2011 $125,000
Salomon Whitney LLC   investor protection violation 2011 $60,000
Workman Securities Corp.   investor protection violation 2011 $700,000
Askar Corporation   investor protection violation 2011 $45,000
Trillium Brokerage Services, LLC   investor protection violation 2010 $1,000,000
Phoenix Derivatives Group, LLC   investor protection violation 2010 $3,000,000
National Financial Services   investor protection violation 2010 $350,000
Westpark Capital, Inc.   investor protection violation 2010 $400,000
Fagenson & Co., Inc.   investor protection violation 2010 $165,000
Alpine Securities Corporation   investor protection violation 2010 $40,000
Equity Station, Inc.   investor protection violation 2010 $25,000
Olympus Securities, LLC   investor protection violation 2010 $20,000
D.A. Davidson & Co.   investor protection violation 2010 $375,000
Penson Financial Services   anti-money-laundering deficiencies 2010 $450,000
Pinnacle Capital Markets   anti-money-laundering deficiencies 2010 $300,000
Pacific Cornerstone Capital   investor protection violation 2009 $700,000
Terra Nova Financial, LLC   investor protection violation 2009 $400,000
City Securities Corporation   investor protection violation 2009 $250,000
Legacy Trading Co., LLC   investor protection violation 2009 $1,007,035
IFMG Securities   investor protection violation 2009 $450,000
J.P. Turner & Co.   anti-money-laundering deficiencies 2009 $525,000
Park Financial Group, Inc.   anti-money-laundering deficiencies 2009 $400,000
Legent Clearing, LLC   anti-money-laundering deficiencies 2009 $350,000
Mutual Service Corporation   investor protection violation 2009 $1,500,000
RD Capital Group   investor protection violation 2009 $1,000,000
NatCity Investments, Inc.   investor protection violation 2009 $300,000
M&I Financial Advisors, Inc.   investor protection violation 2009 $150,000
Centaurus Financial, Inc.   investor protection violation 2009 $175,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2009 $500,000
Multi-Financial Securities Corporation   investor protection violation 2009 $150,000
H. Beck, Inc.   investor protection violation 2009 $140,000
SWS Financial Services   investor protection violation 2009 $70,000
Leonard & Company   investor protection violation 2009 $60,000
SIGMA Financial Corporation   investor protection violation 2009 $50,000
Intersecurities, Inc.   investor protection violation 2009 $50,000
Fox & Company Investments Inc.   investor protection violation 2009 $45,000
vFinance Investments, Inc.   investor protection violation 2009 $27,500
Investors Capital Corp.   investor protection violation 2009 $25,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)