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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 Type sort iconYearPenalty Amount
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
Barclays Capital, Inc.Barclaysfinancial servicesinvestor protection violation2015$13,750,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
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
Monex Securities Inc. investor protection violation2014$1,275,000
Pershing LLC investor protection violation2014$3,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2014$2,440,000
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
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2014$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Needham & Company LLC investor protection violation2014$2,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2014$15,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$6,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$2,488,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014$800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$32,400,000
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
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$5,000,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2014$500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2014$950,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$1,097,000
Triad Advisors investor protection violation2014$1,025,000
Securities AmericaReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014$625,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2014$775,000
Stifel Financial CorporationStifel Financialfinancial servicesinvestor protection violation2014$1,025,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013$3,750,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013$6,500,000
Oppenheimer & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2013$921,000
J.P. Turner & Company, L.L.C. investor protection violation2013$707,559
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013$1,150,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013$675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2013$1,188,000
Newedge USA, LLC investor protection violation2013$9,500,000
StateTrust Investments, Inc. investor protection violation2013$1,398,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2013$2,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013$9,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013$1,373,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013$750,000
Charles Schwab & CompanyCharles Schwab Corp.financial servicesinvestor protection violation2013$500,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013$1,200,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$1,279,106
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
Merrill LynchBank of Americafinancial servicesinvestor protection violation2012$1,074,200
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$817,754
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2012$11,250,000
David Lerner Associates, Inc. investor protection violation2012$14,300,000
Guggenheim Securities, LLC investor protection violation2012$800,000
Hold Brothers On-Line Investment Services, LLC investor protection violation2012$3,400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.