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 Type sort iconYearPenalty Amount
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
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2012$500,000
Rodman & Renshaw LLC investor protection violation2012$315,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2012$2,800,000
Brookstone Securities investor protection violation2012$2,600,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$3,500,000
Citigroup Global Markets, IncCitigroupfinancial servicesinvestor protection violation2012$2,741,489
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2012$2,146,431
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
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
Citi International Financial Services LLC investor protection violation2012$1,248,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2012$1,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$725,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.