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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
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesanti-money-laundering deficiencies2020$15,000,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasfinancial servicesanti-money-laundering deficiencies2019$15,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2018$10,000,000
UBS Financial Services Inc. and UBS Securities LLCUBSfinancial servicesanti-money-laundering deficiencies2018$5,000,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesanti-money-laundering deficiencies2018$5,300,000
Aegis Capital Corp. anti-money-laundering deficiencies2018$550,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesanti-money-laundering deficiencies2016$17,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesanti-money-laundering deficiencies2014$8,000,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014$475,000
COR Clearing LLC anti-money-laundering deficiencies2013$1,000,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013$1,425,000
Atlas One Financial Group, LLC anti-money-laundering deficiencies2013$350,000
Firstrade Securities, Inc. anti-money-laundering deficiencies2013$300,000
World Trade Financial Corporation anti-money-laundering deficiencies2013$250,000
Penson Financial Services anti-money-laundering deficiencies2010$450,000
Pinnacle Capital Markets anti-money-laundering deficiencies2010$300,000
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009$600,000
J.P. Turner & Co. anti-money-laundering deficiencies2009$525,000
Park Financial Group, Inc. anti-money-laundering deficiencies2009$400,000
Legent Clearing, LLC anti-money-laundering deficiencies2009$350,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009$1,000,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007$3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
Worden Capital Management LLC investor protection violation2020$1,550,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2020$8,800,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020$7,200,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$4,600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$280,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$280,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
Robinhood Financial, LLCRobinhood Marketsfinancial servicesinvestor protection violation2019$1,250,000
Lek Securities Corporation investor protection violation2019$900,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$4,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$8,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$1,100,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$1,250,000
Summit Brokerage Services, Inc. investor protection violation2019$880,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$772,000
Buckman, Buckman & Reid, Inc. investor protection violation2019$205,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$2,000,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2018$5,500,000
TradeStation Securities, Inc. investor protection violation2008$750,000
E-Trade Securities, LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$350,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2018$6,000,000
Instinet, LLC investor protection violation2018$1,575,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$11,500,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2017$13,030,000
C.L. King & Associates, Inc. investor protection violation2017$750,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$1,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017$450,000
Purshe Kaplan Sterling Investments investor protection violation2017$4,150,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016$2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016$1,500,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016$750,000
Georgeson Securities Corporation investor protection violation2016$650,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2016$50,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$7,030,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$3,425,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
Cetera Advisor Networks LLC investor protection violation2016$750,000
Cetera Financial Specialists LLC investor protection violation2016$350,000
First Allied Securities, Inc. investor protection violation2016$950,000
Summit Brokerage Services, Inc. investor protection violation2016$500,000
VSR Financial Services, Inc. investor protection violation2016$400,000
Kestra Investment Services, LLC investor protection violation2016$475,000
FTB Advisors, Inc. investor protection violation2016$250,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$2,800,000
Avenir Financial Group investor protection violation2016$229,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016$850,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Prudential Annuities Distributors, Inc.Prudential Financialfinancial servicesinvestor protection violation2016$950,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016$5,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$2,966,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$900,000
Stephens Inc. investor protection violation2016$900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.