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
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
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2015 $15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial Network Wells Fargo financial services anti-money-laundering deficiencies 2014 $1,500,000
Wells Fargo Securities, LLC Wells Fargo financial services investor protection violation 2014 $4,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2013 $3,250,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2012 $1,931,488
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2011 $2,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2011 $1,000,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2009 $275,000
Wachovia Securities, LLC Wells Fargo financial services investor protection violation 2009 $1,400,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2009 $1,100,000
Wachovia Securities Wells Fargo financial services investor protection violation 2009 $4,500,000
Prudential Securities Wells Fargo financial services investor protection violation 2008 $1,050,000
Wachovia Capital Markets, LLC Wells Fargo financial services investor protection violation 2007 $300,000
Wells Fargo Securities, LLC Wells Fargo financial services investor protection violation 2007 $250,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2007 $2,000,000
Wells Fargo Investments Wells Fargo financial services investor protection violation 2005 $3,000,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2005 $2,970,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2004 $650,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2004 $150,000
Wachovia Securities, LLC. Wells Fargo financial services investor protection violation 2004 $39,486
Prudential Securities Incorporated Wells Fargo financial services investor protection violation 2001 $20,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2001 $10,000
First Union Brokerage Services, Inc. Wells Fargo financial services investor protection violation 2001 $32,500
First Union Securities, Inc. Wells Fargo financial services investor protection violation 2000 $350,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services investor protection violation 2000 $5,890,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2000 $100,000
Zions Direct, Inc. Zions Bancorporation financial services investor protection violation 2010 $225,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)