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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
R.D. White & Co., Inc. investor protection violation2000$500,000
WMA Securities, Inc. investor protection violation2000$125,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc. investor protection violation2000$1,180,000
First Chicago Capital Markets, Inc. investor protection violation2000$4,420,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000$539,117
Scott & Stringfellow, Inc. investor protection violation2000$393,263
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$350,000
Botta Trading, LLC investor protection violation2000$75,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000$100,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
Wheat First Securities Inc. investor protection violation2000$7,730,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000$5,890,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000$3,410,000
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2000$933,000
J.C. Bradford & Co. investor protection violation2000$536,000
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000$500,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
1-800DAYTRADE.COM, Inc. investor protection violation2000$25,000
Donnelly & Co., Inc. investor protection violation2000$17,500
LaSalle St. Securities, L.L.C. investor protection violation2000$13,000
Addison Securities, Inc. investor protection violation2000$37,500
Choice Investments, Inc. investor protection violation2000$27,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$495,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2021$69,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2021$11,650,000
Aegis Capital Corp. investor protection violation2021$2,800,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022$15,200,000
Wefunder Portal LLC investor protection violation2022$1,400,000
StartEngine Capital LLC investor protection violation2022$350,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2022$5,000,000
Webull Financial LLC investor protection violation2023$3,000,000
M1 Finance LLC investor protection violation2023$1,236,918
Open to the Public Investing, Inc. investor protection violation2023$528,124
SoFi Securities LLC investor protection violation2023$698,282
SogoTrade, Inc. investor protection violation2023$204,767
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023$24,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$1,600,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018$5,990,530
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.