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
Investors Capital Corp.   investor protection violation 2009 $25,000
National Securities Corporation   investor protection violation 2009 $25,000
Gary Goldberg & Co., Inc   investor protection violation 2009 $19,500
FSC Securities Corporation   investor protection violation 2009 $15,000
Lincoln Investment Planning, Inc.   investor protection violation 2009 $15,000
Spelman & Co.   investor protection violation 2009 $10,000
Stephen L. Falk & Associates, Inc.   investor protection violation 2009 $7,500
First Midwest Securities, Inc.   investor protection violation 2009 $7,000
GunnAllen Financial, Inc.   investor protection violation 2009 $6,000
Advantage Capital Corporation   investor protection violation 2009 $5,000
Financial West Group   investor protection violation 2009 $5,000
First New York Securities L.L.C.   investor protection violation 2009 $341,000
Robert W. Baird & Co.   investor protection violation 2009 $934,510
Leonard & Co.   investor protection violation 2009 $225,000
J.P. Turner & Company, LLC   investor protection violation 2008 $250,000
City National Securities   investor protection violation 2008 $315,000
Harris Investor Services, Inc.   investor protection violation 2008 $150,000
Banorte Securities International, Ltd.   investor protection violation 2008 $1,100,000
First Southwest Company   investor protection violation 2008 $300,000
WaMu Investments, Inc.   investor protection violation 2008 $250,000
GunnAllen Financial, Inc.   investor protection violation 2008 $750,000
American Fund Distributors   investor protection violation 2008 $5,000,000
SMH Capital Inc.   investor protection violation 2008 $450,000
Broadpoint Capital, Inc.   investor protection violation 2008 $200,000
Needham & Company, LLC   investor protection violation 2008 $200,000
Robert W. Baird & Co., Inc.   investor protection violation 2008 $200,000
Cowen and Company, LLC   investor protection violation 2008 $150,000
Leerink Swann & Company, Inc.   investor protection violation 2008 $150,000
JMP Securities, LLC   investor protection violation 2008 $50,000
Pacific Crest Securities, Inc.   investor protection violation 2008 $50,000
Rafferty Capital Markets, LLC   investor protection violation 2007 $409,605
Scudder Distributors, Inc.   investor protection violation 2007 $425,000
EKN Financial Services Inc.   investor protection violation 2006 $200,000
McLaughlin, Piven and Vogel Securities Inc.   investor protection violation 2006 $50,000
American Funds Distributors Inc.   investor protection violation 2006 $5,000,000
Trillium Trading LLC   investor protection violation 2006 $225,000
Schonfeld & Company LLC   investor protection violation 2006 $175,000
LaSalle Street Securities, Inc.   investor protection violation 2006 $200,000
Boston Capital Securities, Inc.   investor protection violation 2006 $1,200,000
David Lerner Associates, Inc.   investor protection violation 2006 $400,000
Diversified Investors Securities Corp.   investor protection violation 2006 $2,250,000
Berean Capital Incorporated   investor protection violation 2006 $100,000
Linsco/Private Ledger Corporation   investor protection violation 2005 $2,400,000
First Avantus Securities, Inc.   investor protection violation 2005 $100,000
National Securities Corporation   investor protection violation 2005 $85,000
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
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)