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
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2007 $2,750,000
Scudder Distributors, Inc.   investor protection violation 2007 $425,000
Putnam Retail Management Limited Partnership Power Financial Corporation financial services investor protection violation 2007 $175,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services investor protection violation 2007 $100,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services investor protection violation 2007 $3,750,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services investor protection violation 2006 $4,000,000
USAllianz Securities Allianz financial services investor protection violation 2006 $5,000,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2006 $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services investor protection violation 2006 $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2006 $100,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2006 $5,500,000
EKN Financial Services Inc.   investor protection violation 2006 $200,000
Chase Investment Services Corporation JPMorgan Chase financial services investor protection violation 2006 $500,000
MetLife Securities, Inc MetLife financial services investor protection violation 2006 $500,000
McLaughlin, Piven and Vogel Securities Inc.   investor protection violation 2006 $50,000
CCO Investment Services Corp. NatWest Group PLC financial services investor protection violation 2006 $850,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2006 $800,000
MetLife, Inc. MetLife financial services investor protection violation 2006 $5,000,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $16,300,000
Morgan Stanley Morgan Stanley financial services investor protection violation 2006 $2,900,000
American Funds Distributors Inc.   investor protection violation 2006 $5,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2006 $1,115,000
ING America Insurance Holdings Inc. Voya Financial financial services investor protection violation 2006 $7,000,000
BRUT LLC Nasdaq Inc. financial services investor protection violation 2006 $2,200,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2006 $350,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2006 $225,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2006 $200,000
Trillium Trading LLC   investor protection violation 2006 $225,000
Schonfeld & Company LLC   investor protection violation 2006 $175,000
LaSalle Street Securities, Inc.   investor protection violation 2006 $200,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $1,100,000
Boston Capital Securities, Inc.   investor protection violation 2006 $1,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2006 $5,000,000
David Lerner Associates, Inc.   investor protection violation 2006 $400,000
Diversified Investors Securities Corp.   investor protection violation 2006 $2,250,000
Sanford C. Bernstein & Co. Equitable Holdings financial services investor protection violation 2006 $350,000
Berean Capital Incorporated   investor protection violation 2006 $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2006 $250,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2005 $14,000,000
Wells Fargo Investments Wells Fargo financial services investor protection violation 2005 $3,000,000
Linsco/Private Ledger Corporation   investor protection violation 2005 $2,400,000
First Avantus Securities, Inc.   investor protection violation 2005 $100,000
National Securities Corporation   investor protection violation 2005 $85,000
First Clearing Corporation   investor protection violation 2005 $110,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $290,262
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $12,300,000
State Street Global Markets LLC State Street Corp. financial services investor protection violation 2005 $1,400,000
SG Americas Securities, LLC Societe Generale financial services investor protection violation 2005 $4,478,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2005 $2,108,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2005 $1,158,000
DebtTraders, Inc.   investor protection violation 2005 $120,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $1,250,000
Green Street Advisors   investor protection violation 2005 $150,000
Instinet, LLC and INET ATS, Inc.   investor protection violation 2005 $1,475,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2005 $2,200,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   investor protection violation 2005 $1,520,000
Commonwealth Financial Network   investor protection violation 2005 $1,400,000
National Planning Corporation Inc.   investor protection violation 2005 $1,308,000
Mutual Service Corporation   investor protection violation 2005 $1,300,000
Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2005 $950,000
SII Investments, Inc.   investor protection violation 2005 $658,500
Investment Centers of America, Inc. LPL Financial financial services investor protection violation 2005 $363,500
Lord Abbett Distributor, LLC   investor protection violation 2005 $255,000
ING Funds Distributor Voya Financial financial services investor protection violation 2005 $1,500,000
First Allied Securities, Inc.   investor protection violation 2005 $734,500
David Lerner Associates, Inc.   investor protection violation 2005 $115,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2005 $300,000
Hantz Financial Services, Inc.   investor protection violation 2005 $675,000
Morgan Stanley DW, Inc. Morgan Stanley financial services investor protection violation 2005 $6,100,000
Hornor, Townsend & Kent, Inc.   investor protection violation 2005 $325,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $280,000
ABN AMRO Incorporated ABN AMRO financial services investor protection violation 2005 $220,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $160,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2005 $140,000
Stephens, Inc.   investor protection violation 2005 $110,000
Stone & Youngberg, LLC   investor protection violation 2005 $110,000
Banc of America Investment Services, Inc. Bank of America financial services investor protection violation 2005 $90,000
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2005 $90,000
Brinker Capital Securities, Inc.   investor protection violation 2005 $60,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2005 $60,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2005 $60,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2005 $40,000
Emmet & Co., Inc.   investor protection violation 2005 $40,000
Loop Capital Markets, LLC   investor protection violation 2005 $40,000
Popular Securities, Inc.   investor protection violation 2005 $40,000
BOSC, Inc.   investor protection violation 2005 $30,000
Pershing LLC   investor protection violation 2005 $30,000
Prager, Sealy & Co., LLC   investor protection violation 2005 $30,000
Tejas Securities Group, Inc.   investor protection violation 2005 $10,000
UBS International Inc. UBS financial services investor protection violation 2005 $10,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2005 $2,650,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $150,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2005 $125,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $6,600,000
H.D. Vest Investment Services   investor protection violation 2005 $4,015,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services investor protection violation 2005 $3,984,087
Linsco/Private Ledger Corp.   investor protection violation 2005 $3,602,398
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2005 $2,970,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2005 $2,500,000
FSC Securities Corp.   investor protection violation 2005 $2,400,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)