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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 TypeYearPenalty Amount sort icon
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021$69,600,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003(*)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
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
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$32,400,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016$25,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023$24,000,000
UBS Financial Services Incorporated of Puerto RicoUBSfinancial servicesinvestor protection violation2015$18,500,000
Charles Schwab & Company, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$18,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016$17,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$16,300,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022$15,200,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasfinancial servicesanti-money-laundering deficiencies2019$15,000,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2014$15,000,000
David Lerner Associates, Inc. investor protection violation2012$14,300,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2005$14,000,000
Robertson Stephens, Inc. investor protection violation2003(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $14,000,000
Barclays Capital, Inc.Barclaysfinancial servicesinvestor protection violation2015$13,750,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$13,500,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$13,030,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesinvestor protection violation2005$13,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2007$12,500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$12,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$12,300,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
First Command Financial Planning Inc. investor protection violation2004$12,000,000
LH Ross investor protection violation2005$11,968,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$11,700,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2021$11,650,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$11,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCPrudential Financialfinancial servicesinvestor protection violation2004$11,500,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012$11,250,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011$10,750,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2018$10,000,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$10,000,000
Newedge USA, LLC investor protection violation2013$9,500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013$9,000,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020$8,800,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$8,700,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$8,000,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesanti-money-laundering deficiencies2014$8,000,000
Wheat First Securities Inc. investor protection violation2000$7,730,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010$7,500,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015$7,300,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020$7,200,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009$7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$7,030,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006$7,000,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$6,600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013$6,500,000
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2015$6,421,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$6,300,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$6,250,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007$6,100,000
Morgan Stanley DW, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2005$6,100,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$6,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018$5,990,530
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000$5,890,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018$5,500,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006$5,500,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$5,390,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,290,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016$5,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$5,000,000
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$5,000,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011$5,000,000
American Fund Distributors investor protection violation2008$5,000,000
USAllianz SecuritiesAllianzfinancial servicesinvestor protection violation2006$5,000,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006$5,000,000
American Funds Distributors Inc. investor protection violation2006$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006$5,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,000,000
Miller Tabak Roberts Securities, LLC investor protection violation2004$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2004$5,000,000
Salomon Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2002$5,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2022$5,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$4,950,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$4,600,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.