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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
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
Intersecurities, Inc. investor protection violation2009$50,000
InterSecurities, Inc. investor protection violation2004$125,000
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005$363,500
Investors Capital Corp. investor protection violation2009$25,000
Investors Capital Corporation investor protection violation2011$400,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
J.C. Bradford & Co. investor protection violation2000$536,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009$500,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2004$125,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$280,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2019$1,100,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$6,000,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2001$10,000
J.P. Morgan Securities, LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$1,250,000
J.P. Turner & Co. anti-money-laundering deficiencies2009$525,000
J.P. Turner & Company, L.L.C. investor protection violation2013$707,559
J.P. Turner & Company, LLC investor protection violation2015$100,000
J.P. Turner & Company, LLC investor protection violation2008$250,000
J.P. Turner & Company, LLC investor protection violation2004$185,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005$2,200,000
Janney Montgomery Scott, LLCPenn Mutualfinancial servicesinvestor protection violation2015$1,200,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2008$50,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2006$5,500,000
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004$125,000
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$688,697
JMP Securities, LLC investor protection violation2008$50,000
John Nuveen & Co., Inc.TIAAfinancial servicesinvestor protection violation2000$6,630,000
John Thomas Financial investor protection violation2015$1,147,288
John Thomas Financial investor protection violation2011$275,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2001$2,300,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
JP Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2014$5,000,000
Kemper Distributors, Inc.Kemperfinancial servicesinvestor protection violation2000$100,000
Kestra Investment Services, LLC investor protection violation2016$475,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
Kirkpatrick, Pettis, Smith, Polian Inc. investor protection violation2004$39,935
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$12,500,000
Ko Securities, Inc. investor protection violation2001$162,450
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$1,200,000
LaSalle St. Securities, L.L.C. investor protection violation2000$13,000
LaSalle St. Securities, LLC investor protection violation2015$175,000
LaSalle Street Securities, Inc. investor protection violation2006$200,000
Leerink Swann & Company, Inc. investor protection violation2008$150,000
Legacy Trading Co., LLC investor protection violation2009$1,007,035
Legent Clearing, LLC anti-money-laundering deficiencies2009$350,000
Lehman Brothers Inc. investor protection violation2004$123,882
Lehman Brothers, Inc. investor protection violation2008$200,000
Lehman Brothers, Inc. investor protection violation2001$65,000
Lek Securities Corporation investor protection violation2019$900,000
Leonard & Co. investor protection violation2009$225,000
Leonard & Company investor protection violation2009$60,000
LH Ross investor protection violation2005$11,968,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$950,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011$600,000
Lincoln Investment Planning, Inc. investor protection violation2009$15,000
Linsco/Private Ledger Corp. investor protection violation2005$3,602,398
LINSCO/Private Ledger Corp. investor protection violation2004$450,000
Linsco/Private Ledger Corporation investor protection violation2005$2,400,000
Loop Capital Markets, LLC investor protection violation2005$40,000
Lord Abbett Distributor, LLC investor protection violation2005$255,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$280,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$6,300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2015$11,700,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2014$950,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2013$9,000,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
Lutheran Brotherhood Securities Corp. investor protection violation2001$25,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
M.H. Meyerson, & Co., Inc. investor protection violation2002$75,000
M1 Finance LLC investor protection violation2023$1,236,918
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
McDonald Investments Inc. investor protection violation2005$1,500,000
McLaughlin, Piven and Vogel Securities Inc. investor protection violation2006$50,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$6,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2012$1,074,200
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$3,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008$250,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2012$1,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2005$14,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020$7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018$5,990,530
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$7,030,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2014$4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013$1,373,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2012$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2004$109,527
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.