Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,386,650,318
Number of Records: 
728

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$131,724,25740
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
UBS$52,763,25014
Raymond James Financial$46,353,00011
Credit Suisse$36,835,00012
MetLife$33,424,7488


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Primary Offense Typesort icon Year Penalty Amount
Infinex Investments, Inc.   investor protection violation 2015 $259,627
The Huntington Investment Company   investor protection violation 2015 $135,973
Santander Securities LLC Banco Santander financial services investor protection violation 2015 $6,421,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services investor protection violation 2015 $18,500,000
Charles Schwab & Co. Charles Schwab Corp. financial services investor protection violation 2015 $2,000,000
StockCross Financial Services, Inc.   investor protection violation 2015 $800,000
Aegis Capital Corp.   investor protection violation 2015 $950,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2015 $1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2015 $15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2015 $8,700,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $6,300,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services investor protection violation 2015 $650,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $300,000
Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2015 $2,000,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $11,700,000
RBC Capital Markets Royal Bank of Canada financial services investor protection violation 2015 $1,434,000
H. Beck, Inc.   investor protection violation 2015 $425,000
LaSalle St. Securities, LLC   investor protection violation 2015 $175,000
J.P. Turner & Company, LLC   investor protection violation 2015 $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2015 $3,750,000
First New York Securities L.L.C.   investor protection violation 2015 $916,000
Brookville Capital Partners LLC   investor protection violation 2015 $1,500,000
John Thomas Financial   investor protection violation 2015 $1,147,288
Monex Securities Inc.   investor protection violation 2014 $1,275,000
Pershing LLC   investor protection violation 2014 $3,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2014 $2,440,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $5,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $5,000,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2014 $5,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2014 $5,000,000
JP Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2014 $5,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2014 $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2014 $4,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services investor protection violation 2014 $4,000,000
Wells Fargo Securities, LLC Wells Fargo financial services investor protection violation 2014 $4,000,000
Needham & Company LLC   investor protection violation 2014 $2,500,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2014 $15,000,000
Merrill Lynch Bank of America financial services investor protection violation 2014 $6,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $2,488,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2014 $800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2014 $32,400,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $1,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2014 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2014 $1,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2014 $5,000,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services investor protection violation 2014 $500,000
LPL Financial LLC LPL Financial financial services investor protection violation 2014 $950,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $1,097,000
Triad Advisors   investor protection violation 2014 $1,025,000
Securities America Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2014 $625,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services investor protection violation 2014 $775,000
Stifel Financial Corporation Stifel Financial financial services investor protection violation 2014 $1,025,000
Barclays Capital Inc. Barclays financial services investor protection violation 2013 $3,750,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2013 $6,500,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2013 $921,000
J.P. Turner & Company, L.L.C.   investor protection violation 2013 $707,559
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services investor protection violation 2013 $1,150,000
SG Americas Securities, Inc. Societe Generale financial services investor protection violation 2013 $675,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2013 $1,188,000
Newedge USA, LLC   investor protection violation 2013 $9,500,000
StateTrust Investments, Inc.   investor protection violation 2013 $1,398,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2013 $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2013 $2,000,000
LPL Financial LLC LPL Financial financial services investor protection violation 2013 $9,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2013 $1,373,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2013 $750,000
Charles Schwab & Company Charles Schwab Corp. financial services investor protection violation 2013 $500,000
ING Groep N.V. Voya Financial financial services investor protection violation 2013 $1,200,000
Citigroup Citigroup financial services investor protection violation 2012 $1,279,106
Goldman Sachs Goldman Sachs financial services investor protection violation 2012 $683,997
JP Morgan JPMorgan Chase financial services investor protection violation 2012 $623,376
Merrill Lynch Bank of America financial services investor protection violation 2012 $1,074,200
Morgan Stanley Morgan Stanley financial services investor protection violation 2012 $817,754
Pruco Securities, LLC Prudential Financial financial services investor protection violation 2012 $11,250,000
David Lerner Associates, Inc.   investor protection violation 2012 $14,300,000
Guggenheim Securities, LLC   investor protection violation 2012 $800,000
Hold Brothers On-Line Investment Services, LLC   investor protection violation 2012 $3,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2012 $500,000
Rodman & Renshaw LLC   investor protection violation 2012 $315,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2012 $2,800,000
Brookstone Securities   investor protection violation 2012 $2,600,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2012 $3,500,000
Citigroup Global Markets, Inc Citigroup financial services investor protection violation 2012 $2,741,489
Morgan Stanley & Co., LLC Morgan Stanley financial services investor protection violation 2012 $2,146,431
UBS Financial Services UBS financial services investor protection violation 2012 $2,354,584
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2012 $1,931,488
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2012 (*) $11,000,000
Citi International Financial Services LLC   investor protection violation 2012 $1,248,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2012 $1,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2012 $725,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 $1,750,000
Barclays Capital Inc. Barclays financial services investor protection violation 2011 $3,000,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2011 $2,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services investor protection violation 2011 $2,050,000
Investors Capital Corporation   investor protection violation 2011 $400,000
Garden State Securities, Inc.   investor protection violation 2011 $300,000
Capital Financial Services   investor protection violation 2011 $200,000
National Securities Corporation   investor protection violation 2011 $175,000
Equity Services, Inc.   investor protection violation 2011 $214,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2011 $250,000
Newbridge Securities Corporation   investor protection violation 2011 $25,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)