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
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
Wells Investment Securities, Inc.   investor protection violation 2011 $300,000
Chase Investment Services Corporation JPMorgan Chase financial services investor protection violation 2011 $3,600,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2011 $1,371,000
UBS Securities LLC UBS financial services investor protection violation 2011 $12,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2011 $1,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2011 $2,115,000
Pointe Capital, Inc.   investor protection violation 2011 $300,000
John Thomas Financial   investor protection violation 2011 $275,000
First Midwest Securities, Inc.   investor protection violation 2011 $150,000
A&F Financial Securities, Inc.   investor protection violation 2011 $125,000
Salomon Whitney LLC   investor protection violation 2011 $60,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2011 $500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2011 $5,000,000
Northern Trust Securities Northern Trust financial services investor protection violation 2011 $600,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 $4,500,000
Merrill Lynch Bank of America financial services investor protection violation 2011 $3,000,000
Nuveen Investments, LLC TIAA financial services investor protection violation 2011 $3,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2011 $1,000,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2011 $1,925,000
Santander Securities of Puerto Rico Banco Santander financial services investor protection violation 2011 $2,000,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2011 $10,750,000
Workman Securities Corp.   investor protection violation 2011 $700,000
Askar Corporation   investor protection violation 2011 $45,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2011 $650,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2011 $500,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2011 $600,000
Charles Schwab & Company, Inc. Charles Schwab Corp. financial services investor protection violation 2011 $18,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2010 $650,000
Ferris, Baker Watts LLC Royal Bank of Canada financial services investor protection violation 2010 $690,000
Trillium Brokerage Services, LLC   investor protection violation 2010 $1,000,000
Zions Direct, Inc. Zions Bancorporation financial services investor protection violation 2010 $225,000
HSBC Securities (USA) Inc. HSBC financial services investor protection violation 2010 $375,000
Merrill Lynch Bank of America financial services investor protection violation 2010 $2,500,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2010 $800,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2010 $1,440,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2010 $7,500,000
Phoenix Derivatives Group, LLC   investor protection violation 2010 $3,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2010 $1,500,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2010 $700,000
Deutsche Bank Securities Deutsche Bank financial services investor protection violation 2010 $575,000
National Financial Services   investor protection violation 2010 $350,000
Westpark Capital, Inc.   investor protection violation 2010 $400,000
Fagenson & Co., Inc.   investor protection violation 2010 $165,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2010 $135,000
Alpine Securities Corporation   investor protection violation 2010 $40,000
Equity Station, Inc.   investor protection violation 2010 $25,000
Olympus Securities, LLC   investor protection violation 2010 $20,000
HSBC Securities (USA) HSBC financial services investor protection violation 2010 $1,500,000
US Bancorp Investments, Inc. U.S. Bancorp financial services investor protection violation 2010 $275,000
D.A. Davidson & Co.   investor protection violation 2010 $375,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2010 $650,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2010 $200,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2010 $200,000
Pacific Cornerstone Capital   investor protection violation 2009 $700,000
Terra Nova Financial, LLC   investor protection violation 2009 $400,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2009 $1,200,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2009 $600,000
Citigroup Global Markets Citigroup financial services investor protection violation 2009 $425,000
UBS Securities UBS financial services investor protection violation 2009 $268,000
Deutsche Bank Deutsche Bank financial services investor protection violation 2009 $152,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services investor protection violation 2009 $200,000
City Securities Corporation   investor protection violation 2009 $250,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2009 $150,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2009 $275,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2009 $100,000
Legacy Trading Co., LLC   investor protection violation 2009 $1,007,035
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2009 $150,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2009 $100,000
KeyBanc Capital Markets, Inc. KeyCorp financial services investor protection violation 2009 $425,000
IFMG Securities   investor protection violation 2009 $450,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2009 $275,000
PNC Investments PNC Financial Services financial services investor protection violation 2009 $250,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $250,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services investor protection violation 2009 $1,000,000
ICAP Corporates LLC TP ICAP PLC financial services investor protection violation 2009 $2,800,000
Wachovia Securities, LLC Wells Fargo financial services investor protection violation 2009 $1,400,000
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2009 $1,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)