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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
Altegris Investments, Inc. investor protection violation2003$175,000
Worldco, LLC investor protection violation2002$175,000
J.P. Turner & Company, LLC investor protection violation2004$185,000
Financial Network Investment Corp. investor protection violation2004$185,000
Capital Financial Services investor protection violation2011$200,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009$200,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
Broadpoint Capital, Inc. investor protection violation2008$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$200,000
Lehman Brothers, Inc. investor protection violation2008$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008$200,000
Needham & Company, LLC investor protection violation2008$200,000
Robert W. Baird & Co., Inc. investor protection violation2008$200,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
EKN Financial Services Inc. investor protection violation2006$200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006$200,000
LaSalle Street Securities, Inc. investor protection violation2006$200,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004$200,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004$200,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004$200,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$200,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
SogoTrade, Inc. investor protection violation2023$204,767
Buckman, Buckman & Reid, Inc. investor protection violation2019$205,000
Equity Services, Inc. investor protection violation2011$214,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2005$220,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
Leonard & Co. investor protection violation2009$225,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
Trillium Trading LLC investor protection violation2006$225,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001$225,000
Avenir Financial Group investor protection violation2016$229,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
FTB Advisors, Inc. investor protection violation2016$250,000
World Trade Financial Corporation anti-money-laundering deficiencies2013$250,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2011$250,000
City Securities Corporation investor protection violation2009$250,000
PNC InvestmentsPNC Financial Servicesfinancial servicesinvestor protection violation2009$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$250,000
J.P. Turner & Company, LLC investor protection violation2008$250,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008$250,000
WaMu Investments, Inc. investor protection violation2008$250,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008$250,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007$250,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2006$250,000
RBC Dain Rauscher Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2006$250,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2006$250,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$250,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2005$250,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2004$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
MML Investor Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2004$250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2004$250,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$250,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002$250,000
NDB Capital Markets LP investor protection violation2001$250,000
All-Tech Direct, Inc. investor protection violation2001$250,000
Lord Abbett Distributor, LLC investor protection violation2005$255,000
Infinex Investments, Inc. investor protection violation2015$259,627
UBS SecuritiesUBSfinancial servicesinvestor protection violation2009$268,000
John Thomas Financial investor protection violation2011$275,000
US Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2010$275,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2009$275,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$275,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$275,000
Robertson Stephens, Inc. investor protection violation2004$275,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$278,544
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$280,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$280,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$280,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$280,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$280,469
Advest, Inc. investor protection violation2005$286,415
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$290,262
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$300,000
Firstrade Securities, Inc. anti-money-laundering deficiencies2013$300,000
Garden State Securities, Inc. investor protection violation2011$300,000
Wells Investment Securities, Inc. investor protection violation2011$300,000
Pointe Capital, Inc. investor protection violation2011$300,000
Pinnacle Capital Markets anti-money-laundering deficiencies2010$300,000
NatCity Investments, Inc. investor protection violation2009$300,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009$300,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008$300,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
First Southwest Company investor protection violation2008$300,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2005$300,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.