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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
Newbridge Securities Corporation investor protection violation2011$25,000
Wells Investment Securities, Inc. investor protection violation2011$300,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011$3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2011$1,371,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011$1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011$2,115,000
Pointe Capital, Inc. investor protection violation2011$300,000
John Thomas Financial investor protection violation2011$275,000
First Midwest Securities, Inc. investor protection violation2011$150,000
A&F Financial Securities, Inc. investor protection violation2011$125,000
Salomon Whitney LLC investor protection violation2011$60,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2011$500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2011$5,000,000
Northern Trust SecuritiesNorthern Trustfinancial servicesinvestor protection violation2011$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$3,000,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011$3,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011$2,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2011$10,750,000
Workman Securities Corp. investor protection violation2011$700,000
Askar Corporation investor protection violation2011$45,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$650,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011$600,000
Charles Schwab & Company, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$18,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2010$650,000
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
Trillium Brokerage Services, LLC investor protection violation2010$1,000,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010$375,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010$2,500,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2010$800,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010$7,500,000
Phoenix Derivatives Group, LLC investor protection violation2010$3,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010$700,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
National Financial Services investor protection violation2010$350,000
Westpark Capital, Inc. investor protection violation2010$400,000
Fagenson & Co., Inc. investor protection violation2010$165,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010$135,000
Alpine Securities Corporation investor protection violation2010$40,000
Equity Station, Inc. investor protection violation2010$25,000
Olympus Securities, LLC investor protection violation2010$20,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010$1,500,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
D.A. Davidson & Co. investor protection violation2010$375,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010$650,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
Pacific Cornerstone Capital investor protection violation2009$700,000
Terra Nova Financial, LLC investor protection violation2009$400,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009$1,200,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009$600,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$425,000
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009$200,000
City Securities Corporation investor protection violation2009$250,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
Legacy Trading Co., LLC investor protection violation2009$1,007,035
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2009$100,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
IFMG Securities investor protection violation2009$450,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009$1,000,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
Mutual Service Corporation investor protection violation2009$1,500,000
RD Capital Group investor protection violation2009$1,000,000
NatCity Investments, Inc. investor protection violation2009$300,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
Centaurus Financial, Inc. investor protection violation2009$175,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009$500,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009$300,000
Multi-Financial Securities Corporation investor protection violation2009$150,000
H. Beck, Inc. investor protection violation2009$140,000
SWS Financial Services investor protection violation2009$70,000
Leonard & Company investor protection violation2009$60,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$55,000
SIGMA Financial Corporation investor protection violation2009$50,000
Intersecurities, Inc. investor protection violation2009$50,000
Fox & Company Investments Inc. investor protection violation2009$45,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.