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
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $280,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $275,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2004 $2,400,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2002 (*) $1,650,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services investor protection violation 2002 $250,000
Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2000 $933,000
PNC Capital Markets LLC PNC Financial Services financial services investor protection violation 2016 $50,000
PNC Investments PNC Financial Services financial services investor protection violation 2009 $250,000
Putnam Retail Management Limited Partnership Power Financial Corporation financial services investor protection violation 2007 $175,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services investor protection violation 2016 $950,000
Pruco Securities, LLC Prudential Financial financial services investor protection violation 2012 $11,250,000
Pruco Securities Prudential Financial financial services investor protection violation 2008 $100,000
Prudential Equity Group LLC Prudential Financial financial services investor protection violation 2004 $550,000
Prudential Equity Group, LLC Prudential Financial financial services investor protection violation 2004 $17,306
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services investor protection violation 2004 $11,500,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2019 $8,000,000
Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2017 $2,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services anti-money-laundering deficiencies 2016 $17,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2015 $8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2011 $2,115,000
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2009 $1,000,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2007 $2,750,000
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2005 $90,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2005 $888,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2004 $400,000
Raymond James & Associates Inc. Raymond James Financial financial services investor protection violation 2000 $3,410,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2015 $752,686
Securities America Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2014 $625,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2011 $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2009 $55,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2007 $322,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $16,300,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $1,100,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $6,600,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $2,400,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $1,200,000
Robinhood Financial, LLC Robinhood Markets financial services investor protection violation 2019 $1,250,000
Robinhood Financial LLC Robinhood Markets financial services investor protection violation 2021 $69,600,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services investor protection violation 2016 $3,500,000
RBC Capital Markets Royal Bank of Canada financial services investor protection violation 2015 $1,434,000
Ferris, Baker Watts LLC Royal Bank of Canada financial services investor protection violation 2010 $690,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2010 $135,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2009 $400,000
RBC Capital Markets Corp. Royal Bank of Canada financial services investor protection violation 2008 $150,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services investor protection violation 2006 $250,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2005 $2,108,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2005 $1,158,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2005 $1,700,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2004 $150,000
SG Americas Securities, LLC Societe Generale financial services investor protection violation 2020 $1,550,000
SG Americas Securities, Inc. Societe Generale financial services investor protection violation 2013 $675,000
SG Americas Securities, LLC Societe Generale financial services investor protection violation 2005 $4,478,000
State Street Global Markets LLC State Street Corp. financial services investor protection violation 2005 $1,400,000
State Street Research Investment Services, Inc. State Street Corp. financial services investor protection violation 2004 $1,500,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services investor protection violation 2020 $3,650,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2015 $2,900,000
Stifel Financial Corporation Stifel Financial financial services investor protection violation 2014 $1,025,000
Thomas Weisel Partners, LLC Stifel Financial financial services investor protection violation 2008 $200,000
Thomas Weisel Partners Stifel Financial financial services investor protection violation 2005 $1,750,000
Stifel Nicolaus & Company Stifel Financial financial services investor protection violation 2004 $125,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2001 $225,000
Nuveen Investments, LLC TIAA financial services investor protection violation 2011 $3,000,000
John Nuveen & Co., Inc. TIAA financial services investor protection violation 2000 $6,630,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services investor protection violation 2004 $150,000
ICAP Corporates LLC TP ICAP PLC financial services investor protection violation 2009 $2,800,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2016 $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2011 $5,000,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2010 $1,440,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2008 $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2008 $1,650,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2008 $300,000
SunTrust Capital Markets, Inc. Truist Financial financial services investor protection violation 2005 $100,000
US Bancorp Investments, Inc. U.S. Bancorp financial services investor protection violation 2010 $275,000
UBS Financial Services Inc. UBS financial services investor protection violation 2019 $2,000,000
UBS Financial Services Inc. and UBS Securities LLC UBS financial services anti-money-laundering deficiencies 2018 $5,000,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services investor protection violation 2015 $18,500,000
UBS Financial Services UBS financial services investor protection violation 2012 $2,354,584
UBS Securities LLC UBS financial services investor protection violation 2011 $12,000,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2011 $10,750,000
UBS Securities UBS financial services investor protection violation 2009 $268,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2009 $100,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2008 $1,000,000
UBS Securities, LLC UBS financial services investor protection violation 2008 $200,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2007 $370,000
UBS International Inc. UBS financial services investor protection violation 2005 $10,000
UBS Securities, L.L.C. UBS financial services investor protection violation 2004 $10,000
UBS Financial Services Inc. UBS financial services investor protection violation 2004 $200,666
Knight Securities, L.P. Virtu Financial financial services investor protection violation 2004 $12,500,000
Knight Securities L.P. Virtu Financial financial services investor protection violation 2002 $1,500,000
VOYA Financial Advisors Inc. Voya Financial financial services investor protection violation 2016 $4,550,000
ING Groep N.V. Voya Financial financial services investor protection violation 2013 $1,200,000
ING America Insurance Holdings Inc. Voya Financial financial services investor protection violation 2006 $7,000,000
ING Funds Distributor Voya Financial financial services investor protection violation 2005 $1,500,000
ING Financial Partners, Inc. Voya Financial financial services investor protection violation 2004 $200,000
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2018 $1,500,000
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2016 $675,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2020 $2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2017 $3,400,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services investor protection violation 2016 $4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2016 $1,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)