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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
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015$7,300,000
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2015$1,030,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,600,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$13,500,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015$1,200,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015$600,000
Stephens Inc. investor protection violation2015$150,000
First Allied Securities, Inc. investor protection violation2015$1,014,647
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$963,534
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015$752,686
Cetera Advisors LLC investor protection violation2015$702,622
Park Avenue Securities LLC investor protection violation2015$743,255
Commonwealth Financial Network investor protection violation2015$582,521
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015$649,748
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015$347,757
Cetera Advisor Networks LLC investor protection violation2015$301,108
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$278,544
Infinex Investments, Inc. investor protection violation2015$259,627
The Huntington Investment Company investor protection violation2015$135,973
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2015$6,421,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,000,000
StockCross Financial Services, Inc. investor protection violation2015$800,000
Aegis Capital Corp. investor protection violation2015$950,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$8,700,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$6,300,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$650,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$300,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$2,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$11,700,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015$1,434,000
H. Beck, Inc. investor protection violation2015$425,000
LaSalle St. Securities, LLC investor protection violation2015$175,000
J.P. Turner & Company, LLC investor protection violation2015$100,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$3,750,000
First New York Securities L.L.C. investor protection violation2015$916,000
Brookville Capital Partners LLC investor protection violation2015$1,500,000
John Thomas Financial investor protection violation2015$1,147,288
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016$2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016$1,500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016$750,000
Georgeson Securities Corporation investor protection violation2016$650,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016$50,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$7,030,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$3,425,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
Cetera Advisor Networks LLC investor protection violation2016$750,000
Cetera Financial Specialists LLC investor protection violation2016$350,000
First Allied Securities, Inc. investor protection violation2016$950,000
Summit Brokerage Services, Inc. investor protection violation2016$500,000
VSR Financial Services, Inc. investor protection violation2016$400,000
Kestra Investment Services, LLC investor protection violation2016$475,000
FTB Advisors, Inc. investor protection violation2016$250,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$2,800,000
Avenir Financial Group investor protection violation2016$229,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016$850,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016$5,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$2,966,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016$17,000,000
Stephens Inc. investor protection violation2016$900,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016$25,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$11,500,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$13,030,000
C.L. King & Associates, Inc. investor protection violation2017$750,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$1,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017$450,000
Purshe Kaplan Sterling Investments investor protection violation2017$4,150,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2018$10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018$5,990,530
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018$5,500,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Instinet, LLC investor protection violation2018$1,575,000
Aegis Capital Corp. anti-money-laundering deficiencies2018$550,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$4,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.