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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services securities issuance or trading violation 2018 $5,990,530
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2017 $1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2016 $7,030,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services investor protection violation 2016 $2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2016 $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2014 $2,440,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2014 $4,000,000
Merrill Lynch Bank of America financial services investor protection violation 2014 $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2014 $32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2014 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2013 $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2013 $1,373,000
Merrill Lynch Bank of America financial services investor protection violation 2012 $1,074,200
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2012 $500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2012 $2,800,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2012 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2011 $1,000,000
Merrill Lynch Bank of America financial services investor protection violation 2011 $3,000,000
Merrill Lynch Bank of America financial services investor protection violation 2010 $2,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2009 $150,000
Merrill Lynch Bank of America financial services investor protection violation 2008 $250,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2008 $200,000
Banc of America Investment Services Inc. Bank of America financial services anti-money-laundering deficiencies 2007 $3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2006 $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2005 $14,000,000
Banc of America Investment Services, Inc. Bank of America financial services investor protection violation 2005 $90,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2004 $1,600,000
Banc of America Investment Services Inc. Bank of America financial services investor protection violation 2004 $200,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2004 $250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2004 $109,527
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2004 $275,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2003 (*) $14,000,000
BancBoston Robertson Stephens Bank of America financial services investor protection violation 2001 $10,000
Banc of America Securities LLC Bank of America financial services investor protection violation 2001 $40,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2001 $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2000 $97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2021 $11,650,000
BMO Capital Markets Corp. Bank of Montreal financial services investor protection violation 2008 $150,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services investor protection violation 2008 $250,000
Barclays Capital Inc. Barclays financial services investor protection violation 2016 $1,300,000
Barclays Capital, Inc. Barclays financial services investor protection violation 2015 $13,750,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $5,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $1,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2013 $3,750,000
Barclays Capital Inc. Barclays financial services investor protection violation 2011 $3,000,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services investor protection violation 2014 $775,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas financial services anti-money-laundering deficiencies 2019 $15,000,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services anti-money-laundering deficiencies 2014 $8,000,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2008 $350,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2008 $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2005 $40,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2019 $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2015 $7,300,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $2,600,000
Charles Schwab & Co. Charles Schwab Corp. financial services investor protection violation 2015 $2,000,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $300,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services investor protection violation 2014 $500,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services investor protection violation 2013 $1,150,000
Charles Schwab & Company Charles Schwab Corp. financial services investor protection violation 2013 $500,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services investor protection violation 2011 $18,000,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2010 $200,000
Scottrade Charles Schwab Corp. financial services anti-money-laundering deficiencies 2009 $600,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2005 $250,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services investor protection violation 2004 $70,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $16,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $60,869
Schwab Capital Markets Charles Schwab Corp. financial services investor protection violation 2001 $12,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2019 $280,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2019 $1,250,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $11,500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $1,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2014 $15,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $2,488,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $1,097,000
Citigroup Citigroup financial services investor protection violation 2012 $1,279,106
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2012 $3,500,000
Citigroup Global Markets, Inc Citigroup financial services investor protection violation 2012 $2,741,489
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2012 $725,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2011 $500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2010 $1,500,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2010 $650,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2009 $600,000
Citigroup Global Markets Citigroup financial services investor protection violation 2009 $425,000
Citigroup Global Markets Citigroup financial services investor protection violation 2009 $2,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2008 $300,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2007 $15,200,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2006 $1,115,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2006 $350,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2005 $60,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2005 $6,250,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $275,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2004 $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Comerica Securities Comerica financial services investor protection violation 2015 $347,757
Comerica Securities, Inc. Comerica financial services investor protection violation 2008 $750,000
SG Cowen, LLC Cowen Inc. financial services investor protection violation 2004 $800,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2019 $6,500,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services anti-money-laundering deficiencies 2016 $16,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)