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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$2,000,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$32,500
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2005$60,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004$250,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2011$3,600,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2006$500,000
Chase Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
Choice Investments, Inc. investor protection violation2000$27,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$350,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$40,000
Citi International Financial Services LLC investor protection violation2012$1,248,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$1,279,106
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$425,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$280,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$1,250,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$11,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$1,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$2,488,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$1,097,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010$1,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009$600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2006$1,115,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2005$60,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2004$5,000,000
Citigroup Global Markets, IncCitigroupfinancial servicesinvestor protection violation2012$2,741,489
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2014$15,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$3,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$725,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2011$500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010$650,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008$300,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$350,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$6,250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$275,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
City National Securities investor protection violation2008$315,000
City Securities Corporation investor protection violation2009$250,000
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015$347,757
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
Commonwealth Financial Network investor protection violation2015$582,521
Commonwealth Financial Network investor protection violation2005$1,400,000
COR Clearing LLC anti-money-laundering deficiencies2013$1,000,000
Cornerstone Securities Corporation investor protection violation2001$35,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $50,000,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2001$25,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004$770,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004$50,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2019$6,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesanti-money-laundering deficiencies2016$16,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$4,500,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2014$5,000,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
Cresap, Inc. investor protection violation2004$99,458
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
CUNA Brokerage Services, Inc.CUNA Mutualfinancial servicesinvestor protection violation2001$100,000
CyBerBroker, Inc. investor protection violation2001$20,000
D.A. Davidson & Co. investor protection violation2010$375,000
D.A. Davidson & Co. investor protection violation2004$150,000
Dalton Kent Securities Group, Inc. investor protection violation2001$25,000
Datek Online Brokerage Services, LLC investor protection violation2001$30,000
Davenport & Co. LLC investor protection violation2004$738,000
David Lerner Assoc. investor protection violation2004$100,000
David Lerner Associates, Inc. investor protection violation2012$14,300,000
David Lerner Associates, Inc. investor protection violation2006$400,000
David Lerner Associates, Inc. investor protection violation2005$115,000
David Lerner Associates, Inc. investor protection violation2004$32,711
DebtTraders, Inc. investor protection violation2005$120,000
Delta Asset Management Company, L.L.C. investor protection violation2004$15,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$3,250,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$12,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2016$6,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2014$4,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2010$7,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2013$6,500,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$15,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,290,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008$150,000
Diversified Investors Securities Corp. investor protection violation2006$2,250,000
Donnelly & Co., Inc. investor protection violation2000$17,500
Doyle, Miles & Co., L.L.C. investor protection violation2004$12,500
E-Trade SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2001$90,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$900,000
E-Trade Securities LLC and E-Trade Clearing LLCMorgan Stanleyfinancial servicesanti-money-laundering deficiencies2009$1,000,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
E-TRADE Securities, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.