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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
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial 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. $1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial 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. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial 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. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial 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. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial 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. $1,650,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004$1,600,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$1,600,000
Instinet, LLC investor protection violation2018$1,575,000
Worden Capital Management LLC investor protection violation2020$1,550,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation investor protection violation2005$1,520,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
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
Brookville Capital Partners LLC investor protection violation2015$1,500,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010$1,500,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010$1,500,000
Mutual Service Corporation investor protection violation2009$1,500,000
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005$1,500,000
McDonald Investments Inc. investor protection violation2005$1,500,000
State Street Research Investment Services, Inc.BlackRockfinancial servicesinvestor protection violation2004$1,500,000
Worldco LLC investor protection violation2004$1,500,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$1,475,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015$1,434,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013$1,425,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005$1,400,000
Commonwealth Financial Network investor protection violation2005$1,400,000
Wefunder Portal LLC investor protection violation2022$1,400,000
StateTrust Investments, Inc. investor protection violation2013$1,398,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013$1,373,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2011$1,371,000
National Planning Corporation Inc. investor protection violation2005$1,308,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Mutual Service Corporation investor protection violation2005$1,300,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$1,279,106
Monex Securities Inc. investor protection violation2014$1,275,000
Robinhood Financial, LLCRobinhood Marketsfinancial servicesinvestor protection violation2019$1,250,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$1,250,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$1,250,000
Citi International Financial Services LLC investor protection violation2012$1,248,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
M1 Finance LLC investor protection violation2023$1,236,918
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015$1,200,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013$1,200,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009$1,200,000
Boston Capital Securities, Inc. investor protection violation2006$1,200,000
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$1,200,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2013$1,188,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. investor protection violation2000$1,180,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,158,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013$1,150,000
John Thomas Financial investor protection violation2015$1,147,288
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2006$1,115,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$1,100,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
Banorte Securities International, Ltd. investor protection violation2008$1,100,000
American General Securities, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$1,100,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$1,097,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2012$1,074,200
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
Fidelity Brokerage Services LLCFidelity Investmentsfinancial servicesinvestor protection violation2015$1,030,000
Triad Advisors investor protection violation2014$1,025,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014$1,025,000
First Allied Securities, Inc. investor protection violation2015$1,014,647
Legacy Trading Co., LLC investor protection violation2009$1,007,035
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$1,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$1,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2014$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$1,000,000
COR Clearing LLC anti-money-laundering deficiencies2013$1,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2012$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011$1,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Trillium Brokerage Services, LLC investor protection violation2010$1,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009$1,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
RD Capital Group investor protection violation2009$1,000,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007$1,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsfinancial servicesinvestor protection violation2005$1,000,000
Fiero Brothers, Inc. investor protection violation2002$1,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$963,534
First Allied Securities, Inc. investor protection violation2016$950,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Aegis Capital Corp. investor protection violation2015$950,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2014$950,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$950,000
Robert W. Baird & Co. investor protection violation2009$934,510
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000$933,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2013$921,000
First New York Securities L.L.C. investor protection violation2015$916,000
Lek Securities Corporation investor protection violation2019$900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.