Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,305,400,318
Number of Records: 
726

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$120,064,25738
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
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
LPL Financial$32,093,5008


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
IFC Holdings, Inc. d/b/a INVEST Financial Corporation   investor protection violation 2005 $1,520,000
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2018 $1,500,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2016 $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2016 $1,500,000
Brookville Capital Partners LLC   investor protection violation 2015 $1,500,000
Wells Fargo Advisors and Wells Fargo Advisors Financial Network Wells Fargo financial services anti-money-laundering deficiencies 2014 $1,500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2010 $1,500,000
HSBC Securities (USA) HSBC financial services investor protection violation 2010 $1,500,000
Mutual Service Corporation   investor protection violation 2009 $1,500,000
ING Funds Distributor Voya Financial financial services investor protection violation 2005 $1,500,000
McDonald Investments Inc.   investor protection violation 2005 $1,500,000
State Street Research Investment Services, Inc. State Street Corp. financial services investor protection violation 2004 $1,500,000
Worldco LLC   investor protection violation 2004 $1,500,000
Knight Securities L.P. Virtu Financial financial services investor protection violation 2002 $1,500,000
Instinet, LLC and INET ATS, Inc.   investor protection violation 2005 $1,475,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2010 $1,440,000
RBC Capital Markets Royal Bank of Canada financial services investor protection violation 2015 $1,434,000
Oppenheimer and Co., Inc. Oppenheimer Holdings financial services anti-money-laundering deficiencies 2013 $1,425,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2017 $1,400,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2015 $1,400,000
Wachovia Securities, LLC Wells Fargo financial services investor protection violation 2009 $1,400,000
State Street Global Markets LLC State Street Corp. financial services investor protection violation 2005 $1,400,000
Commonwealth Financial Network   investor protection violation 2005 $1,400,000
StateTrust Investments, Inc.   investor protection violation 2013 $1,398,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2013 $1,373,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2011 $1,371,000
National Planning Corporation Inc.   investor protection violation 2005 $1,308,000
Barclays Capital Inc. Barclays financial services investor protection violation 2016 $1,300,000
Mutual Service Corporation   investor protection violation 2005 $1,300,000
Citigroup Citigroup financial services investor protection violation 2012 $1,279,106
Monex Securities Inc.   investor protection violation 2014 $1,275,000
Robinhood Financial, LLC   investor protection violation 2019 $1,250,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2019 $1,250,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services investor protection violation 2017 $1,250,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2005 $1,250,000
Citi International Financial Services LLC   investor protection violation 2012 $1,248,000
CS First Boston Corp. Credit Suisse financial services investor protection violation 2000 $1,240,000
Janney Montgomery Scott, LLC Penn Mutual financial services investor protection violation 2015 $1,200,000
ING Groep N.V. Voya Financial financial services investor protection violation 2013 $1,200,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2009 $1,200,000
Boston Capital Securities, Inc.   investor protection violation 2006 $1,200,000
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $1,200,000
Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2013 $1,188,000
Cain Brothers & Company, LLC and SHP Capital Markets, Inc.   investor protection violation 2000 $1,180,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2005 $1,158,000
TD Ameritrade Clearing, Inc. Charles Schwab Corp. financial services investor protection violation 2013 $1,150,000
John Thomas Financial   investor protection violation 2015 $1,147,288
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2006 $1,115,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $1,100,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2009 $1,100,000
Banorte Securities International, Ltd.   investor protection violation 2008 $1,100,000
American General Securities, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $1,100,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2014 $1,097,000
Merrill Lynch Bank of America financial services investor protection violation 2012 $1,074,200
Prudential Securities Wells Fargo financial services investor protection violation 2008 $1,050,000
Fidelity Brokerage Services LLC Fidelity Investments financial services investor protection violation 2015 $1,030,000
Triad Advisors   investor protection violation 2014 $1,025,000
Stifel Financial Corporation Stifel Financial financial services investor protection violation 2014 $1,025,000
First Allied Securities, Inc.   investor protection violation 2015 $1,014,647
Legacy Trading Co., LLC   investor protection violation 2009 $1,007,035
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $1,000,000
Barclays Capital Inc. Barclays financial services investor protection violation 2014 $1,000,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2014 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2014 $1,000,000
COR Clearing LLC   anti-money-laundering deficiencies 2013 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2012 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2011 $1,000,000
Wells Fargo Advisors, LLC Wells Fargo financial services investor protection violation 2011 $1,000,000
Trillium Brokerage Services, LLC   investor protection violation 2010 $1,000,000
NEXT Financial Group, Inc. Atria Wealth Solutions financial services investor protection violation 2009 $1,000,000
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2009 $1,000,000
RD Capital Group   investor protection violation 2009 $1,000,000
E-Trade Securities LLC and E-Trade Clearing LLC Morgan Stanley financial services anti-money-laundering deficiencies 2009 $1,000,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2008 $1,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2007 $1,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services investor protection violation 2005 $1,000,000
Fiero Brothers, Inc.   investor protection violation 2002 $1,000,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2015 $963,534
First Allied Securities, Inc.   investor protection violation 2016 $950,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services investor protection violation 2016 $950,000
Aegis Capital Corp.   investor protection violation 2015 $950,000
LPL Financial LLC LPL Financial financial services investor protection violation 2014 $950,000
Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2005 $950,000
Robert W. Baird & Co.   investor protection violation 2009 $934,510
Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2000 $933,000
Oppenheimer & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2013 $921,000
First New York Securities L.L.C.   investor protection violation 2015 $916,000
Lek Securities Corporation   investor protection violation 2019 $900,000
E-Trade Securities LLC Morgan Stanley financial services investor protection violation 2016 $900,000
Stephens Inc.   investor protection violation 2016 $900,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2009 $900,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2005 $900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2005 $888,000
Summit Brokerage Services, Inc.   investor protection violation 2019 $880,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2016 $850,000
CCO Investment Services Corp. NatWest Group PLC financial services investor protection violation 2006 $850,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2004 $825,000
Morgan Stanley Morgan Stanley financial services investor protection violation 2012 $817,754
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2017 $800,000
StockCross Financial Services, Inc.   investor protection violation 2015 $800,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2014 $800,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)