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
Credit Suisse Securities (USA) LLC Credit Suisse financial services anti-money-laundering deficiencies 2016 $16,500,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2014 $5,000,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 $1,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 $4,500,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2009 $275,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2006 $225,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services investor protection violation 2004 $50,000
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2004 $770,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2002 (*) $50,000,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2001 $25,000
CS First Boston Corp. Credit Suisse financial services investor protection violation 2000 $1,240,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services investor protection violation 2001 $100,000
ProEquities, Inc. Dai-ichi Life financial services investor protection violation 2009 $25,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2017 $2,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $3,250,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $12,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $6,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2015 $1,400,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2014 $4,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2013 $6,500,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2010 $7,500,000
Deutsche Bank Securities Deutsche Bank financial services investor protection violation 2010 $575,000
Deutsche Bank Deutsche Bank financial services investor protection violation 2009 $152,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services investor protection violation 2008 $150,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,290,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2002 (*) $1,650,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2019 $772,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2015 $600,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2007 $2,600,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services investor protection violation 2007 $100,000
Sanford C. Bernstein & Co. Equitable Holdings financial services investor protection violation 2006 $350,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services investor protection violation 2005 $3,984,087
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2005 $900,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
Fidelity Brokerage Services LLC Fidelity Investments financial services investor protection violation 2015 $1,030,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services investor protection violation 2007 $400,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services investor protection violation 2007 $3,750,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2018 $6,000,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2015 $963,534
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2009 $150,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2009 $1,750,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2015 $1,800,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2014 $5,000,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2014 $800,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2014 $1,000,000
Goldman Sachs Goldman Sachs financial services investor protection violation 2012 $683,997
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2012 (*) $11,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2010 $650,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2005 $140,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2005 $125,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services investor protection violation 2005 $1,000,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services investor protection violation 2004 $75,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2004 $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2002 (*) $1,650,000
Spear, Leeds & Kellogg Goldman Sachs financial services investor protection violation 2001 $10,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2010 $200,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2004 $825,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2011 $650,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2011 $500,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2004 $36,971
Southwest Securities Inc. Hilltop Holdings financial services investor protection violation 2000 $500,000
HSBC Securities (USA) Inc. HSBC financial services investor protection violation 2010 $375,000
HSBC Securities (USA) HSBC financial services investor protection violation 2010 $1,500,000
HSBC Brokerage HSBC financial services investor protection violation 2007 $250,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services anti-money-laundering deficiencies 2018 $5,300,000
Interactive Brokers LLC Interactive Brokers Group financial services anti-money-laundering deficiencies 2020 $15,000,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2018 $5,500,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2017 $450,000
Interactive Brokers, L.L.C. Interactive Brokers Group financial services investor protection violation 2002 $230,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2011 $1,925,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2008 $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2006 $5,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2015 $13,500,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2009 $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2006 $250,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2005 $300,000
Edward Jones & Co., LP Jones Financial financial services investor protection violation 2004 $300,000
Edward Jones Jones Financial financial services investor protection violation 2004 $25,181
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $1,100,000
J.P. Morgan Securities JPMorgan Chase financial services investor protection violation 2017 $2,800,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services investor protection violation 2017 $1,250,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2017 $800,000
JP Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2014 $5,000,000
JP Morgan JPMorgan Chase financial services investor protection violation 2012 $623,376
Chase Investment Services Corporation JPMorgan Chase financial services investor protection violation 2011 $3,600,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $250,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $32,500
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2008 $225,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services investor protection violation 2008 $150,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2007 $500,000
Chase Investment Services Corporation JPMorgan Chase financial services investor protection violation 2006 $500,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $290,262
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $160,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2005 $60,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $150,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $2,000,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2005 $400,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)