Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,305,400,318
Number of Records: 
726

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$120,064,25738
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
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
LPL Financial$32,093,5008


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
Interactive Brokers LLC Interactive Brokers Group financial services anti-money-laundering deficiencies 2020 $15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. BNP Paribas financial services anti-money-laundering deficiencies 2019 $15,000,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services anti-money-laundering deficiencies 2018 $10,000,000
UBS Financial Services Inc. and UBS Securities LLC UBS financial services anti-money-laundering deficiencies 2018 $5,000,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services anti-money-laundering deficiencies 2018 $5,300,000
Aegis Capital Corp.   anti-money-laundering deficiencies 2018 $550,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services anti-money-laundering deficiencies 2016 $16,500,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services anti-money-laundering deficiencies 2016 $17,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial Network Wells Fargo financial services anti-money-laundering deficiencies 2014 $1,500,000
Brown Brothers Harriman & Co. Brown Brothers Harriman financial services anti-money-laundering deficiencies 2014 $8,000,000
Banorte-Ixe Securities International, Ltd.   anti-money-laundering deficiencies 2014 $475,000
COR Clearing LLC   anti-money-laundering deficiencies 2013 $1,000,000
Oppenheimer and Co., Inc. Oppenheimer Holdings financial services anti-money-laundering deficiencies 2013 $1,425,000
Atlas One Financial Group, LLC   anti-money-laundering deficiencies 2013 $350,000
Firstrade Securities, Inc.   anti-money-laundering deficiencies 2013 $300,000
World Trade Financial Corporation   anti-money-laundering deficiencies 2013 $250,000
Penson Financial Services   anti-money-laundering deficiencies 2010 $450,000
Pinnacle Capital Markets   anti-money-laundering deficiencies 2010 $300,000
Scottrade Charles Schwab Corp. financial services anti-money-laundering deficiencies 2009 $600,000
J.P. Turner & Co.   anti-money-laundering deficiencies 2009 $525,000
Park Financial Group, Inc.   anti-money-laundering deficiencies 2009 $400,000
Legent Clearing, LLC   anti-money-laundering deficiencies 2009 $350,000
E-Trade Securities LLC and E-Trade Clearing LLC Morgan Stanley financial services anti-money-laundering deficiencies 2009 $1,000,000
Banc of America Investment Services Inc. Bank of America financial services anti-money-laundering deficiencies 2007 $3,000,000
Worden Capital Management LLC   investor protection violation 2020 $1,550,000
Transamerica Financial Advisors, Inc. Aegon financial services investor protection violation 2020 $8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2020 $2,075,000
SG Americas Securities, LLC Societe Generale financial services investor protection violation 2020 $1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2020 $7,200,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services investor protection violation 2020 $3,650,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2019 $4,600,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2019 $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $280,000
LPL Financial LLC LPL Financial financial services investor protection violation 2019 $280,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2019 $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $280,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2019 $6,500,000
Robinhood Financial, LLC   investor protection violation 2019 $1,250,000
Lek Securities Corporation   investor protection violation 2019 $900,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2019 $8,000,000
UBS Financial Services Inc. UBS financial services investor protection violation 2019 $2,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $1,100,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2019 $1,250,000
Summit Brokerage Services, Inc.   investor protection violation 2019 $880,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2019 $772,000
Buckman, Buckman & Reid, Inc.   investor protection violation 2019 $205,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2019 $2,000,000
LPL Financial, LLC LPL Financial financial services investor protection violation 2018 $2,750,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2018 $5,500,000
TradeStation Securities, Inc.   investor protection violation 2008 $750,000
E-Trade Securities, LLC Morgan Stanley financial services investor protection violation 2008 $500,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2008 $350,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2018 $6,000,000
Instinet, LLC   investor protection violation 2018 $1,575,000
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2018 $1,500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $11,500,000
J.P. Morgan Securities JPMorgan Chase financial services investor protection violation 2017 $2,800,000
Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2017 $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2017 $1,400,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services investor protection violation 2017 $1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2017 $3,400,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2017 $13,030,000
C.L. King & Associates, Inc.   investor protection violation 2017 $750,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2017 $2,500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2017 $800,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2017 $450,000
Purshe Kaplan Sterling Investments   investor protection violation 2017 $4,150,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services investor protection violation 2016 $4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services investor protection violation 2016 $3,500,000
RBS Securities, Inc. NatWest Group PLC financial services investor protection violation 2016 $2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2016 $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2016 $1,500,000
LPL Financial LLC LPL Financial financial services investor protection violation 2016 $750,000
Georgeson Securities Corporation   investor protection violation 2016 $650,000
PNC Capital Markets LLC PNC Financial Services financial services investor protection violation 2016 $50,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $3,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2016 $7,030,000
VALIC Financial Advisors, Inc. American International Group financial services investor protection violation 2016 $1,750,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $3,425,000
VOYA Financial Advisors Inc. Voya Financial financial services investor protection violation 2016 $4,550,000
Cetera Advisor Networks LLC   investor protection violation 2016 $750,000
Cetera Financial Specialists LLC   investor protection violation 2016 $350,000
First Allied Securities, Inc.   investor protection violation 2016 $950,000
Summit Brokerage Services, Inc.   investor protection violation 2016 $500,000
VSR Financial Services, Inc.   investor protection violation 2016 $400,000
Kestra Investment Services, LLC   investor protection violation 2016 $475,000
FTB Advisors, Inc.   investor protection violation 2016 $250,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services investor protection violation 2016 $2,800,000
Avenir Financial Group   investor protection violation 2016 $229,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2016 $850,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $12,500,000
Barclays Capital Inc. Barclays financial services investor protection violation 2016 $1,300,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services investor protection violation 2016 $950,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2016 $5,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $2,966,000
E-Trade Securities LLC Morgan Stanley financial services investor protection violation 2016 $900,000
Stephens Inc.   investor protection violation 2016 $900,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2016 $25,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)