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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 ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$16,300,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2006$2,900,000
American Funds Distributors Inc. investor protection violation2006$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2006$1,115,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006$7,000,000
BRUT LLCNasdaq Inc.financial servicesinvestor protection violation2006$2,200,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$350,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006$200,000
Trillium Trading LLC investor protection violation2006$225,000
Schonfeld & Company LLC investor protection violation2006$175,000
LaSalle Street Securities, Inc. investor protection violation2006$200,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$1,100,000
Boston Capital Securities, Inc. investor protection violation2006$1,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006$5,000,000
David Lerner Associates, Inc. investor protection violation2006$400,000
Diversified Investors Securities Corp. investor protection violation2006$2,250,000
Sanford C. Bernstein & Co.Equitable Holdingsfinancial servicesinvestor protection violation2006$350,000
Berean Capital Incorporated investor protection violation2006$100,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$250,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
Rafferty Capital Markets, LLC investor protection violation2007$409,605
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2007$12,500,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2007$354,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007$322,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2007$100,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007$400,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2007$2,750,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007$3,000,000
Scudder Distributors, Inc. investor protection violation2007$425,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
AllianceBernstein Investments, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2007$100,000
Fidelity Distributors Corp. et al.Fidelity Investmentsfinancial servicesinvestor protection violation2007$3,750,000
TradeStation Securities, Inc. investor protection violation2008$750,000
E-Trade Securities, LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$350,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008$300,000
J.P. Turner & Company, LLC investor protection violation2008$250,000
City National Securities investor protection violation2008$315,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008$250,000
Harris Investor Services, Inc. investor protection violation2008$150,000
Banorte Securities International, Ltd. investor protection violation2008$1,100,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
First Southwest Company investor protection violation2008$300,000
WaMu Investments, Inc. investor protection violation2008$250,000
GunnAllen Financial, Inc. investor protection violation2008$750,000
American Fund Distributors investor protection violation2008$5,000,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008$250,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2008$4,500,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
SMH Capital Inc. investor protection violation2008$450,000
Broadpoint Capital, Inc. investor protection violation2008$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$200,000
Lehman Brothers, Inc. investor protection violation2008$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008$200,000
Needham & Company, LLC investor protection violation2008$200,000
Robert W. Baird & Co., Inc. investor protection violation2008$200,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008$150,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008$150,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008$150,000
Leerink Swann & Company, Inc. investor protection violation2008$150,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2008$50,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2008$50,000
JMP Securities, LLC investor protection violation2008$50,000
Pacific Crest Securities, Inc. investor protection violation2008$50,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008$100,000
Pacific Cornerstone Capital investor protection violation2009$700,000
Terra Nova Financial, LLC investor protection violation2009$400,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009$1,200,000
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009$600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009$600,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$425,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009$200,000
City Securities Corporation investor protection violation2009$250,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
Legacy Trading Co., LLC investor protection violation2009$1,007,035
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.