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Violation Tracker Agency Summary Page

Agency Name: Financial Industry Regulatory Authority
Penalty Total since 2000: $1,460,168,409
Number of Records: 743
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$181,639,25741
UBS$101,180,25030
Morgan Stanley$99,073,00739
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
Raymond James Financial$46,353,00011
Charles Schwab Corp.$36,176,86913
MetLife$33,424,7488

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005$2,970,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004$650,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004$39,486
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001$10,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001$32,500
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$350,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000$5,890,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013$1,200,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006$7,000,000
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005$1,500,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004$200,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$12,500,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014$5,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011$10,750,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005$10,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004$50,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004$70,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004$10,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004$770,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Schwab Capital MarketsUBSfinancial servicesinvestor protection violation2001$12,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001$25,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011$5,000,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005$100,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004$800,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011$3,000,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014$1,025,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
Stifel Nicolaus & CompanyStifel Financialfinancial servicesinvestor protection violation2004$125,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001$225,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005$1,400,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013$675,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2005$4,478,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015$1,434,000
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010$135,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.