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 Parent Parent Major Industry Primary Offense Type Yearsort icon Penalty Amount
Providential Securities, Inc.   investor protection violation 2000 $115,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2000 $200,000
Asensio & Company, Inc.   investor protection violation 2000 $75,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2000 $97,000
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
R.D. White & Co., Inc.   investor protection violation 2000 $500,000
WMA Securities, Inc.   investor protection violation 2000 $125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   investor protection violation 2000 $1,180,000
First Chicago Capital Markets, Inc.   investor protection violation 2000 $4,420,000
John Nuveen & Co., Inc. TIAA financial services investor protection violation 2000 $6,630,000
Peacock, Hislop, Staley & Given, Inc.   investor protection violation 2000 $539,117
Scott & Stringfellow, Inc.   investor protection violation 2000 $393,263
First Union Securities, Inc. Wells Fargo financial services investor protection violation 2000 $350,000
Botta Trading, LLC   investor protection violation 2000 $75,000
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
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
Wheat First Securities Inc.   investor protection violation 2000 $7,730,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services investor protection violation 2000 $5,890,000
Raymond James & Associates Inc. Raymond James Financial financial services investor protection violation 2000 $3,410,000
CS First Boston Corp. Credit Suisse financial services investor protection violation 2000 $1,240,000
Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2000 $933,000
J.C. Bradford & Co.   investor protection violation 2000 $536,000
Southwest Securities Inc. Hilltop Holdings financial services investor protection violation 2000 $500,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2000 $100,000
1-800DAYTRADE.COM, Inc.   investor protection violation 2000 $25,000
Donnelly & Co., Inc.   investor protection violation 2000 $17,500
LaSalle St. Securities, L.L.C.   investor protection violation 2000 $13,000
Addison Securities, Inc.   investor protection violation 2000 $37,500
Choice Investments, Inc.   investor protection violation 2000 $27,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2000 $495,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services investor protection violation 2001 $100,000
Mutual Service Corporation, Inc.   investor protection violation 2001 $35,000
National Financial Services, L.L.C.   investor protection violation 2001 $30,000
Windsor Capital Advisors, Inc.   investor protection violation 2001 $20,000
Prudential Securities Incorporated Wells Fargo financial services investor protection violation 2001 $20,000
Pershing Trading Company, L.P.   investor protection violation 2001 $20,000
Gerard Klauer Mattison & Co., Inc.   investor protection violation 2001 $10,000
BancBoston Robertson Stephens Bank of America financial services investor protection violation 2001 $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Ko Securities, Inc.   investor protection violation 2001 $162,450
Fleet Securities, Inc.   investor protection violation 2001 $50,000
NDB Capital Markets LP   investor protection violation 2001 $250,000
Herzog, Heine, Geduld, Inc.   investor protection violation 2001 $18,000
Schwab Capital Markets Charles Schwab Corp. financial services investor protection violation 2001 $12,000
Spear, Leeds & Kellogg Goldman Sachs financial services investor protection violation 2001 $10,000
Access Securities, Inc.   investor protection violation 2001 $14,000
Aegis Capital Corp.   investor protection violation 2001 $19,000
Dalton Kent Securities Group, Inc.   investor protection violation 2001 $25,000
Ramius Securities L.L.C.   investor protection violation 2001 $61,000
Torrey Pines Securities, Inc.   investor protection violation 2001 $14,000
E-Trade Securities Morgan Stanley financial services investor protection violation 2001 $90,000
NDB Capital Markets, LP   investor protection violation 2001 $75,000
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2001 $65,000
Fleet Securities, Inc.   investor protection violation 2001 $40,000
Herzog, Heine, Geduld, Inc.   investor protection violation 2001 $40,000
Banc of America Securities LLC Bank of America financial services investor protection violation 2001 $40,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2001 $25,000
ING Barings LLC   investor protection violation 2001 $20,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2001 $15,000
Penson Financial Services, Inc.   investor protection violation 2001 $15,000
Chase Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Ramius Securities LLC   investor protection violation 2001 $10,000
All-Tech Direct, Inc.   investor protection violation 2001 $250,000
Momentum Securities, LLC   investor protection violation 2001 $75,000
CyBerBroker, Inc.   investor protection violation 2001 $20,000
Cornerstone Securities Corporation   investor protection violation 2001 $35,000
Summit Trading, Inc.   investor protection violation 2001 $20,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2001 $2,300,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2001 $225,000
Banc One Capital Markets, Inc.   investor protection violation 2001 $1,800,000
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
Allmerica Investments, Inc.   investor protection violation 2001 $15,000
Lutheran Brotherhood Securities Corp.   investor protection violation 2001 $25,000
Datek Online Brokerage Services, LLC   investor protection violation 2001 $30,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2002 $350,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2002 (*) $1,650,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2002 (*) $1,650,000
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
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2002 (*) $1,650,000
Fiero Brothers, Inc.   investor protection violation 2002 $1,000,000
Sterling Financial Investment Group   investor protection violation 2002 $40,000
Swift Trade Securities USA, Inc.   investor protection violation 2002 $101,000
Salomon Smith Barney Morgan Stanley financial services investor protection violation 2002 $5,000,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services investor protection violation 2002 $250,000
Hornblower & Weeks, Inc.   investor protection violation 2002 $100,000
M.H. Meyerson, & Co., Inc.   investor protection violation 2002 $75,000
Interactive Brokers, L.L.C. Interactive Brokers Group financial services investor protection violation 2002 $230,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2002 (*) $50,000,000
Tower Square Securities   investor protection violation 2002 $4,500,000
Worldco, LLC   investor protection violation 2002 $175,000
Knight Securities L.P. Virtu Financial financial services investor protection violation 2002 $1,500,000
Metropolitan Investment Securities, Inc.   investor protection violation 2003 $4,300,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 (*) $50,000,000
Wells Investment Securities, Inc.   investor protection violation 2003 $150,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 $2,000,000
Altegris Investments, Inc.   investor protection violation 2003 $175,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2003 $6,000,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2003 (*) $14,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)