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
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2005 $400,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2004 $250,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $4,950,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $280,469
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2003 $6,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Chase Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services investor protection violation 2000 $200,000
Kemper Distributors, Inc. Kemper financial services investor protection violation 2000 $100,000
KeyBanc Capital Markets, Inc. KeyCorp financial services investor protection violation 2009 $425,000
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2008 $200,000
Lehman Brothers Inc. Lehman Brothers financial services investor protection violation 2004 $123,882
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2001 $65,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2011 $600,000
Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2005 $950,000
Jefferson Pilot Variable Corporation Lincoln National financial services investor protection violation 2005 $688,697
Jefferson Pilot Securities Corporation Lincoln National financial services investor protection violation 2004 $125,000
LPL Financial LLC LPL Financial financial services investor protection violation 2019 $280,000
LPL Financial, LLC LPL Financial financial services investor protection violation 2018 $2,750,000
LPL Financial LLC LPL Financial financial services investor protection violation 2016 $750,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $6,300,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $11,700,000
LPL Financial LLC LPL Financial financial services investor protection violation 2014 $950,000
LPL Financial LLC LPL Financial financial services investor protection violation 2013 $9,000,000
Investment Centers of America, Inc. LPL Financial financial services investor protection violation 2005 $363,500
M&T Securities, Inc. M&T Bank financial services investor protection violation 2009 $200,000
Macquarie Capital (USA) Inc. Macquarie financial services investor protection violation 2015 $2,950,000
Waddell & Reed, Inc. Macquarie financial services investor protection violation 2005 (*) $16,000,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services investor protection violation 2007 $473,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services investor protection violation 2004 $250,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2016 $25,000,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2015 $649,748
MetLife Securities, Inc. MetLife financial services investor protection violation 2009 $1,200,000
New England Securities MetLife financial services investor protection violation 2009 $500,000
MetLife Securities, Inc MetLife financial services investor protection violation 2006 $500,000
MetLife, Inc. MetLife financial services investor protection violation 2006 $5,000,000
Metropolitan Life Insurance Co. MetLife financial services investor protection violation 2004 $375,000
New England Securities MetLife financial services investor protection violation 2004 $200,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2019 $280,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services anti-money-laundering deficiencies 2018 $10,000,000
E-Trade Securities, LLC Morgan Stanley financial services investor protection violation 2008 $500,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2017 $13,030,000
E-Trade Securities LLC Morgan Stanley financial services investor protection violation 2016 $900,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services investor protection violation 2015 $650,000
Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2015 $2,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services investor protection violation 2014 $4,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2014 $5,000,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2013 $1,188,000
Morgan Stanley Morgan Stanley financial services investor protection violation 2012 $817,754
Morgan Stanley & Co., LLC Morgan Stanley financial services investor protection violation 2012 $2,146,431
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2011 $1,371,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2010 $800,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2009 $7,200,000
E-Trade Securities LLC and E-Trade Clearing LLC Morgan Stanley financial services anti-money-laundering deficiencies 2009 $1,000,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2007 $12,500,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2007 $6,100,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2006 $100,000
Morgan Stanley Morgan Stanley financial services investor protection violation 2006 $2,900,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2006 $200,000
Morgan Stanley DW, Inc. Morgan Stanley financial services investor protection violation 2005 $6,100,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2005 $2,650,000
Morgan Stanley DW Inc Morgan Stanley financial services investor protection violation 2004 $336,510
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $2,200,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $38,312
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2004 $5,390,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 $2,000,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2002 (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services investor protection violation 2002 (*) $1,650,000
Salomon Smith Barney Morgan Stanley financial services investor protection violation 2002 $5,000,000
E-Trade Securities Morgan Stanley financial services investor protection violation 2001 $90,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2000 $200,000
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2000 $495,000
BRUT LLC Nasdaq Inc. financial services investor protection violation 2006 $2,200,000
RBS Securities, Inc. NatWest Group PLC financial services investor protection violation 2016 $2,000,000
CCO Investment Services Corp. NatWest Group PLC financial services investor protection violation 2006 $850,000
NYLIFE Securities LLC New York Life Insurance financial services investor protection violation 2007 $354,000
NYLife Securities, Inc. New York Life Insurance financial services investor protection violation 2004 $350,000
Northern Trust Securities Northern Trust financial services investor protection violation 2011 $600,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services investor protection violation 2009 $200,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services investor protection violation 2007 $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2019 $4,600,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $3,425,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $2,966,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2015 $3,750,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2013 $921,000
Oppenheimer and Co., Inc. Oppenheimer Holdings financial services anti-money-laundering deficiencies 2013 $1,425,000
Oppenheimer & Co. Oppenheimer Holdings financial services investor protection violation 2008 $4,500,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2007 $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2006 $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2006 $250,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2001 $2,300,000
Janney Montgomery Scott, LLC Penn Mutual financial services investor protection violation 2015 $1,200,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2009 $200,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2005 $2,200,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2010 $700,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2008 $100,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $280,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)