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 Type Yearsort icon Penalty Amount
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2003 (*) $14,000,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2004 $825,000
Knight Securities, L.P. Virtu Financial financial services investor protection violation 2004 $12,500,000
First Command Financial Planning Inc.   investor protection violation 2004 $12,000,000
Sigma Financial Corporation   investor protection violation 2004 $135,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $275,000
Morgan Stanley DW Inc Morgan Stanley financial services investor protection violation 2004 $336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2004 $1,600,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2004 $700,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2004 $650,000
Prudential Equity Group LLC Prudential Financial financial services investor protection violation 2004 $550,000
LINSCO/Private Ledger Corp.   investor protection violation 2004 $450,000
PFS Investments, Inc.   investor protection violation 2004 $450,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2004 $400,000
Metropolitan Life Insurance Co. MetLife financial services investor protection violation 2004 $375,000
NYLife Securities, Inc. New York Life Insurance financial services investor protection violation 2004 $350,000
WM Financial Services, Inc.   investor protection violation 2004 $350,000
Edward Jones & Co., LP Jones Financial financial services investor protection violation 2004 $300,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2004 $250,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services investor protection violation 2004 $250,000
Banc of America Investment Services Inc. Bank of America financial services investor protection violation 2004 $200,000
ING Financial Partners, Inc. Voya Financial financial services investor protection violation 2004 $200,000
New England Securities MetLife financial services investor protection violation 2004 $200,000
J.P. Turner & Company, LLC   investor protection violation 2004 $185,000
Financial Network Investment Corp.   investor protection violation 2004 $185,000
Allstate Financial Services LLC Allstate financial services investor protection violation 2004 $150,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2004 $150,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2004 $150,000
World Group Securities, Inc. Aegon financial services investor protection violation 2004 $150,000
Farmers Financial Solutions LLC   investor protection violation 2004 $125,000
InterSecurities, Inc.   investor protection violation 2004 $125,000
Jefferson Pilot Securities Corporation Lincoln National financial services investor protection violation 2004 $125,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2004 $125,000
Quick & Reilly, Inc.   investor protection violation 2004 $125,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2004 $100,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Sentinel Financial Services Company   investor protection violation 2004 $700,000
BNY Brokerage, Inc.   investor protection violation 2004 $12,000
Carlin Equities Corporation   investor protection violation 2004 $35,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services investor protection violation 2004 $50,000
Delta Asset Management Company, L.L.C.   investor protection violation 2004 $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $15,000
Doyle, Miles & Co., L.L.C.   investor protection violation 2004 $12,500
FutureTrade Securities, L.L.C   investor protection violation 2004 $35,000
Index Securities, LLC   investor protection violation 2004 $11,000
Mid-Atlantic Capital Corporation   investor protection violation 2004 $10,000
Options Trading Associates, LLC   investor protection violation 2004 $10,000
Pulse Trading, Inc.   investor protection violation 2004 $20,000
Quantlab Securities, L.P.   investor protection violation 2004 $12,500
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services investor protection violation 2004 $70,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $16,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services investor protection violation 2004 $75,000
Transcend Capital, LP   investor protection violation 2004 $10,000
UBS Securities, L.L.C. UBS financial services investor protection violation 2004 $10,000
SG Cowen, LLC Cowen Inc. financial services investor protection violation 2004 $800,000
National Securities Corp.   investor protection violation 2004 $600,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $2,200,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2004 $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,000,000
Miller Tabak Roberts Securities, LLC   investor protection violation 2004 $5,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2004 $5,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2004 $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $250,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2004 $2,400,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $60,869
Edward Jones Jones Financial financial services investor protection violation 2004 $25,181
First Trust Portfolios L.P   investor protection violation 2004 $118,680
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2004 $109,527
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $38,312
Prudential Equity Group, LLC Prudential Financial financial services investor protection violation 2004 $17,306
UBS Financial Services Inc. UBS financial services investor protection violation 2004 $200,666
Wachovia Securities, LLC. Wells Fargo financial services investor protection violation 2004 $39,486
D.A. Davidson & Co.   investor protection violation 2004 $150,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services investor protection violation 2004 $150,000
Stifel Nicolaus & Company Stifel Financial financial services investor protection violation 2004 $125,000
National Planning Corp.   investor protection violation 2004 $100,000
SII Investments, Inc.   investor protection violation 2004 $100,000
Davenport & Co. LLC   investor protection violation 2004 $738,000
Nationwide Investment Services Corporation   investor protection violation 2004 $175,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services investor protection violation 2004 $300,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $4,950,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,290,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2004 $5,390,000
David Lerner Assoc.   investor protection violation 2004 $100,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2004 $275,000
Ameritrade, Inc.   investor protection violation 2004 $10,000,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
State Street Research Investment Services, Inc. State Street Corp. financial services investor protection violation 2004 $1,500,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $280,469
Lehman Brothers Inc. Lehman Brothers financial services investor protection violation 2004 $123,882
Cresap, Inc.   investor protection violation 2004 $99,458
SWS Financial Services   investor protection violation 2004 $66,468
Kirkpatrick, Pettis, Smith, Polian Inc.   investor protection violation 2004 $39,935
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2004 $36,971
David Lerner Associates, Inc.   investor protection violation 2004 $32,711
Brecek & Young Advisors, Inc.   investor protection violation 2004 $31,224
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2004 $770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services investor protection violation 2004 $11,500,000
Worldco LLC   investor protection violation 2004 $1,500,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)