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
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
Penson Financial Services, Inc.   investor protection violation 2001 $15,000
Ramius Securities LLC   investor protection violation 2001 $10,000
All-Tech Direct, Inc.   investor protection violation 2001 $250,000
Momentum Securities, LLC   investor protection violation 2001 $75,000
CyBerBroker, Inc.   investor protection violation 2001 $20,000
Cornerstone Securities Corporation   investor protection violation 2001 $35,000
Summit Trading, Inc.   investor protection violation 2001 $20,000
Banc One Capital Markets, Inc.   investor protection violation 2001 $1,800,000
Allmerica Investments, Inc.   investor protection violation 2001 $15,000
Lutheran Brotherhood Securities Corp.   investor protection violation 2001 $25,000
Datek Online Brokerage Services, LLC   investor protection violation 2001 $30,000
Providential Securities, Inc.   investor protection violation 2000 $115,000
Asensio & Company, Inc.   investor protection violation 2000 $75,000
R.D. White & Co., Inc.   investor protection violation 2000 $500,000
WMA Securities, Inc.   investor protection violation 2000 $125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   investor protection violation 2000 $1,180,000
First Chicago Capital Markets, Inc.   investor protection violation 2000 $4,420,000
Peacock, Hislop, Staley & Given, Inc.   investor protection violation 2000 $539,117
Scott & Stringfellow, Inc.   investor protection violation 2000 $393,263
Botta Trading, LLC   investor protection violation 2000 $75,000
Wheat First Securities Inc.   investor protection violation 2000 $7,730,000
J.C. Bradford & Co.   investor protection violation 2000 $536,000
1-800DAYTRADE.COM, Inc.   investor protection violation 2000 $25,000
Donnelly & Co., Inc.   investor protection violation 2000 $17,500
LaSalle St. Securities, L.L.C.   investor protection violation 2000 $13,000
Addison Securities, Inc.   investor protection violation 2000 $37,500
Choice Investments, Inc.   investor protection violation 2000 $27,000
ABN AMRO Incorporated ABN AMRO financial services investor protection violation 2005 $220,000
Transamerica Financial Advisors, Inc. Aegon financial services investor protection violation 2020 $8,800,000
World Group Securities, Inc. Aegon financial services investor protection violation 2004 $150,000
USAllianz Securities Allianz financial services investor protection violation 2006 $5,000,000
Allstate Financial Services LLC Allstate financial services investor protection violation 2004 $150,000
VALIC Financial Advisors, Inc. American International Group financial services investor protection violation 2016 $1,750,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2009 $300,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2005 $2,500,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2004 $100,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2016 $850,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2013 $750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $12,300,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $1,250,000
American Express Financial Advisors Ameriprise Financial financial services investor protection violation 2005 $13,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2004 $700,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services investor protection violation 2004 $300,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2002 $350,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2015 $278,544
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2009 $100,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services investor protection violation 2008 $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services investor protection violation 2006 $4,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services investor protection violation 2011 $2,050,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services investor protection violation 2009 $1,000,000
Santander Securities LLC Banco Santander financial services investor protection violation 2015 $6,421,000
Santander Securities of Puerto Rico Banco Santander financial services investor protection violation 2011 $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2020 $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $4,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)