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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 TypeYearPenalty Amount sort icon
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2008$4,500,000
Tower Square Securities investor protection violation2002$4,500,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2005$4,478,000
First Chicago Capital Markets, Inc. investor protection violation2000$4,420,000
Metropolitan Investment Securities, Inc. investor protection violation2003$4,300,000
Purshe Kaplan Sterling Investments investor protection violation2017$4,150,000
H.D. Vest Investment Services investor protection violation2005$4,015,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2014$4,000,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2006$4,000,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005$3,984,087
Yankee Financial Group, Inc. investor protection violation2005$3,800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$3,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013$3,750,000
Fidelity Distributors Corp. et al.Fidelity Investmentsfinancial servicesinvestor protection violation2007$3,750,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2020$3,650,000
Linsco/Private Ledger Corp. investor protection violation2005$3,602,398
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011$3,600,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A.Royal Bank of Canadafinancial servicesinvestor protection violation2016$3,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$3,500,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$3,425,000
Raymond James & Associates Inc.Raymond James Financialfinancial servicesinvestor protection violation2000$3,410,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Hold Brothers On-Line Investment Services, LLC investor protection violation2012$3,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Pershing LLC investor protection violation2014$3,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2011$3,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$3,000,000
Nuveen Investments, LLCTIAAfinancial servicesinvestor protection violation2011$3,000,000
Phoenix Derivatives Group, LLC investor protection violation2010$3,000,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007$3,000,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005$3,000,000
Webull Financial LLC investor protection violation2023$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005$2,970,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2016$2,966,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2006$2,900,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2012$2,800,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
Aegis Capital Corp. investor protection violation2021$2,800,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2007$2,750,000
Citigroup Global Markets, IncCitigroupfinancial servicesinvestor protection violation2012$2,741,489
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$2,650,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,600,000
Brookstone Securities investor protection violation2012$2,600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Needham & Company LLC investor protection violation2014$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010$2,500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2005$2,500,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$2,488,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2014$2,440,000
Linsco/Private Ledger Corporation investor protection violation2005$2,400,000
FSC Securities Corp. investor protection violation2005$2,400,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$2,400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004$2,400,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2001$2,300,000
Diversified Investors Securities Corp. investor protection violation2006$2,250,000
BRUT LLCNasdaq Inc.financial servicesinvestor protection violation2006$2,200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$2,200,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2012$2,146,431
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011$2,115,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005$2,108,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2011$2,050,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$2,000,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016$2,000,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2013$2,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011$2,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$2,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$2,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Banc One Capital Markets, Inc. investor protection violation2001$1,800,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,700,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.