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
WMA Securities, Inc.   investor protection violation 2000 $125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   investor protection violation 2000 $1,180,000
First Chicago Capital Markets, Inc.   investor protection violation 2000 $4,420,000
John Nuveen & Co., Inc. TIAA financial services investor protection violation 2000 $6,630,000
Peacock, Hislop, Staley & Given, Inc.   investor protection violation 2000 $539,117
Scott & Stringfellow, Inc.   investor protection violation 2000 $393,263
First Union Securities, Inc. Wells Fargo financial services investor protection violation 2000 $350,000
Botta Trading, LLC   investor protection violation 2000 $75,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services investor protection violation 2000 $200,000
Kemper Distributors, Inc. Kemper financial services investor protection violation 2000 $100,000
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
Wheat First Securities Inc.   investor protection violation 2000 $7,730,000
A.G. Edwards & Sons, Inc. Wells Fargo financial services investor protection violation 2000 $5,890,000
Raymond James & Associates Inc. Raymond James Financial financial services investor protection violation 2000 $3,410,000
CS First Boston Corp. Credit Suisse financial services investor protection violation 2000 $1,240,000
Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2000 $933,000
J.C. Bradford & Co.   investor protection violation 2000 $536,000
Southwest Securities Inc. Hilltop Holdings financial services investor protection violation 2000 $500,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2000 $100,000
1-800DAYTRADE.COM, Inc.   investor protection violation 2000 $25,000
Donnelly & Co., Inc.   investor protection violation 2000 $17,500
LaSalle St. Securities, L.L.C.   investor protection violation 2000 $13,000
Addison Securities, Inc.   investor protection violation 2000 $37,500
Choice Investments, Inc.   investor protection violation 2000 $27,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2000 $495,000
Robinhood Financial LLC Robinhood Markets financial services investor protection violation 2021 $69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2021 $11,650,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services securities issuance or trading violation 2018 $5,990,530
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)