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 Year Penalty Amountsort icon
Metropolitan Investment Securities, Inc.   investor protection violation 2003 $4,300,000
Purshe Kaplan Sterling Investments   investor protection violation 2017 $4,150,000
H.D. Vest Investment Services   investor protection violation 2005 $4,015,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $4,000,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services investor protection violation 2016 $4,000,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2014 $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2014 $4,000,000
Morgan Stanley & Co., LLC Morgan Stanley financial services investor protection violation 2014 $4,000,000
Wells Fargo Securities, LLC Wells Fargo financial services investor protection violation 2014 $4,000,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services investor protection violation 2006 $4,000,000
AllianceBernstein Investment Research and Management, Inc. Equitable Holdings financial services investor protection violation 2005 $3,984,087
Yankee Financial Group, Inc.   investor protection violation 2005 $3,800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2015 $3,750,000
Barclays Capital Inc. Barclays financial services investor protection violation 2013 $3,750,000
Fidelity Distributors Corp. et al. Fidelity Investments financial services investor protection violation 2007 $3,750,000
Stifel, Nicolaus & Company, Incorporated Stifel Financial financial services investor protection violation 2020 $3,650,000
Linsco/Private Ledger Corp.   investor protection violation 2005 $3,602,398
Chase Investment Services Corporation JPMorgan Chase financial services investor protection violation 2011 $3,600,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services investor protection violation 2016 $3,500,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2012 $3,500,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $3,425,000
Raymond James & Associates Inc. Raymond James Financial financial services investor protection violation 2000 $3,410,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2017 $3,400,000
Hold Brothers On-Line Investment Services, LLC   investor protection violation 2012 $3,400,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $3,250,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2013 $3,250,000
Pershing LLC   investor protection violation 2014 $3,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2011 $3,000,000
Merrill Lynch Bank of America financial services investor protection violation 2011 $3,000,000
Nuveen Investments, LLC TIAA financial services investor protection violation 2011 $3,000,000
Phoenix Derivatives Group, LLC   investor protection violation 2010 $3,000,000
Banc of America Investment Services Inc. Bank of America financial services anti-money-laundering deficiencies 2007 $3,000,000
Wells Fargo Investments Wells Fargo financial services investor protection violation 2005 $3,000,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2005 $2,970,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $2,966,000
Macquarie Capital (USA) Inc. Macquarie financial services investor protection violation 2015 $2,950,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2015 $2,900,000
Morgan Stanley Morgan Stanley financial services investor protection violation 2006 $2,900,000
J.P. Morgan Securities JPMorgan Chase financial services investor protection violation 2017 $2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services investor protection violation 2016 $2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2012 $2,800,000
ICAP Corporates LLC TP ICAP PLC financial services investor protection violation 2009 $2,800,000
LPL Financial, LLC LPL Financial financial services investor protection violation 2018 $2,750,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2007 $2,750,000
Citigroup Global Markets, Inc Citigroup financial services investor protection violation 2012 $2,741,489
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2005 $2,650,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $2,600,000
Brookstone Securities   investor protection violation 2012 $2,600,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2007 $2,600,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2017 $2,500,000
Needham & Company LLC   investor protection violation 2014 $2,500,000
Merrill Lynch Bank of America financial services investor protection violation 2010 $2,500,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2005 $2,500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $2,488,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2014 $2,440,000
Linsco/Private Ledger Corporation   investor protection violation 2005 $2,400,000
FSC Securities Corp.   investor protection violation 2005 $2,400,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $2,400,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2004 $2,400,000
UBS Financial Services UBS financial services investor protection violation 2012 $2,354,584
Josephthal & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2001 $2,300,000
Diversified Investors Securities Corp.   investor protection violation 2006 $2,250,000
BRUT LLC Nasdaq Inc. financial services investor protection violation 2006 $2,200,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2005 $2,200,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $2,200,000
Morgan Stanley & Co., LLC Morgan Stanley financial services investor protection violation 2012 $2,146,431
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2011 $2,115,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2005 $2,108,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2020 $2,075,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services investor protection violation 2011 $2,050,000
UBS Financial Services Inc. UBS financial services investor protection violation 2019 $2,000,000
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2019 $2,000,000
Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2017 $2,000,000
RBS Securities, Inc. NatWest Group PLC financial services investor protection violation 2016 $2,000,000
Charles Schwab & Co. Charles Schwab Corp. financial services investor protection violation 2015 $2,000,000
Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2015 $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2013 $2,000,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2011 $2,000,000
Santander Securities of Puerto Rico Banco Santander financial services investor protection violation 2011 $2,000,000
Citigroup Global Markets Citigroup financial services investor protection violation 2009 $2,000,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2007 $2,000,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $2,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 $2,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2012 $1,931,488
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2011 $1,925,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2015 $1,800,000
Banc One Capital Markets, Inc.   investor protection violation 2001 $1,800,000
VALIC Financial Advisors, Inc. American International Group financial services investor protection violation 2016 $1,750,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services investor protection violation 2011 $1,750,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2009 $1,750,000
Thomas Weisel Partners Stifel Financial financial services investor protection violation 2005 $1,750,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2005 $1,700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2008 $1,650,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2002 (*) $1,650,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2002 (*) $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2002 (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services investor protection violation 2002 (*) $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2002 (*) $1,650,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2004 $1,600,000
Instinet, LLC   investor protection violation 2018 $1,575,000
Worden Capital Management LLC   investor protection violation 2020 $1,550,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)