Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
IFMG Securities investor protection violation2009$450,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009$1,000,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
J.P. Turner & Co. anti-money-laundering deficiencies2009$525,000
Park Financial Group, Inc. anti-money-laundering deficiencies2009$400,000
Legent Clearing, LLC anti-money-laundering deficiencies2009$350,000
Mutual Service Corporation investor protection violation2009$1,500,000
RD Capital Group investor protection violation2009$1,000,000
NatCity Investments, Inc. investor protection violation2009$300,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
Centaurus Financial, Inc. investor protection violation2009$175,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009$500,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009$300,000
Multi-Financial Securities Corporation investor protection violation2009$150,000
H. Beck, Inc. investor protection violation2009$140,000
SWS Financial Services investor protection violation2009$70,000
Leonard & Company investor protection violation2009$60,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$55,000
SIGMA Financial Corporation investor protection violation2009$50,000
Intersecurities, Inc. investor protection violation2009$50,000
Fox & Company Investments Inc. investor protection violation2009$45,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$32,500
vFinance Investments, Inc. investor protection violation2009$27,500
Investors Capital Corp. investor protection violation2009$25,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009$25,000
National Securities Corporation investor protection violation2009$25,000
Gary Goldberg & Co., Inc investor protection violation2009$19,500
FSC Securities Corporation investor protection violation2009$15,000
Lincoln Investment Planning, Inc. investor protection violation2009$15,000
Spelman & Co. investor protection violation2009$10,000
Stephen L. Falk & Associates, Inc. investor protection violation2009$7,500
First Midwest Securities, Inc. investor protection violation2009$7,000
GunnAllen Financial, Inc. investor protection violation2009$6,000
Advantage Capital Corporation investor protection violation2009$5,000
Financial West Group investor protection violation2009$5,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
First New York Securities L.L.C. investor protection violation2009$341,000
Robert W. Baird & Co. investor protection violation2009$934,510
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Leonard & Co. investor protection violation2009$225,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009$1,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2010$650,000
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
Trillium Brokerage Services, LLC investor protection violation2010$1,000,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010$375,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010$2,500,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2010$800,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010$7,500,000
Phoenix Derivatives Group, LLC investor protection violation2010$3,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010$700,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
National Financial Services investor protection violation2010$350,000
Westpark Capital, Inc. investor protection violation2010$400,000
Fagenson & Co., Inc. investor protection violation2010$165,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010$135,000
Alpine Securities Corporation investor protection violation2010$40,000
Equity Station, Inc. investor protection violation2010$25,000
Olympus Securities, LLC investor protection violation2010$20,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010$1,500,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
D.A. Davidson & Co. investor protection violation2010$375,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010$650,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
Penson Financial Services anti-money-laundering deficiencies2010$450,000
Pinnacle Capital Markets anti-money-laundering deficiencies2010$300,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2011$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2011$2,050,000
Investors Capital Corporation investor protection violation2011$400,000
Garden State Securities, Inc. investor protection violation2011$300,000
Capital Financial Services investor protection violation2011$200,000
National Securities Corporation investor protection violation2011$175,000
Equity Services, Inc. investor protection violation2011$214,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2011$250,000
Newbridge Securities Corporation investor protection violation2011$25,000
Wells Investment Securities, Inc. investor protection violation2011$300,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011$3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2011$1,371,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.