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)
Companysort icon Parent Parent Major Industry Primary Offense Type Year Penalty Amount
Investors Capital Corp.   investor protection violation 2009 $25,000
Investors Capital Corporation   investor protection violation 2011 $400,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services investor protection violation 2000 $200,000
J.C. Bradford & Co.   investor protection violation 2000 $536,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2009 $500,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2004 $125,000
J.P. Morgan Securities JPMorgan Chase financial services investor protection violation 2017 $2,800,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $1,100,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2017 $800,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2007 $500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $160,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $150,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2003 $6,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services investor protection violation 2017 $1,250,000
J.P. Turner & Co.   anti-money-laundering deficiencies 2009 $525,000
J.P. Turner & Company, L.L.C.   investor protection violation 2013 $707,559
J.P. Turner & Company, LLC   investor protection violation 2015 $100,000
J.P. Turner & Company, LLC   investor protection violation 2008 $250,000
J.P. Turner & Company, LLC   investor protection violation 2004 $185,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2009 $200,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2005 $2,200,000
Janney Montgomery Scott, LLC Penn Mutual financial services investor protection violation 2015 $1,200,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2011 $1,925,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2008 $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2006 $5,500,000
Jefferson Pilot Securities Corporation Lincoln National financial services investor protection violation 2004 $125,000
Jefferson Pilot Variable Corporation Lincoln National financial services investor protection violation 2005 $688,697
JMP Securities, LLC   investor protection violation 2008 $50,000
John Nuveen & Co., Inc. TIAA financial services investor protection violation 2000 $6,630,000
John Thomas Financial   investor protection violation 2015 $1,147,288
John Thomas Financial   investor protection violation 2011 $275,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2001 $2,300,000
JP Morgan JPMorgan Chase financial services investor protection violation 2012 $623,376
JP Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2014 $5,000,000
Kemper Distributors, Inc. Kemper financial services investor protection violation 2000 $100,000
Kestra Investment Services, LLC   investor protection violation 2016 $475,000
KeyBanc Capital Markets, Inc. KeyCorp financial services investor protection violation 2009 $425,000
Kirkpatrick, Pettis, Smith, Polian Inc.   investor protection violation 2004 $39,935
Knight Securities L.P. Virtu Financial financial services investor protection violation 2002 $1,500,000
Knight Securities, L.P. Virtu Financial financial services investor protection violation 2004 $12,500,000
Ko Securities, Inc.   investor protection violation 2001 $162,450
Ladenburg Thalmann & Co. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2005 $1,200,000
LaSalle St. Securities, L.L.C.   investor protection violation 2000 $13,000
LaSalle St. Securities, LLC   investor protection violation 2015 $175,000
LaSalle Street Securities, Inc.   investor protection violation 2006 $200,000
Leerink Swann & Company, Inc.   investor protection violation 2008 $150,000
Legacy Trading Co., LLC   investor protection violation 2009 $1,007,035
Legent Clearing, LLC   anti-money-laundering deficiencies 2009 $350,000
Lehman Brothers Inc. Lehman Brothers financial services investor protection violation 2004 $123,882
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2008 $200,000
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2001 $65,000
Lek Securities Corporation   investor protection violation 2019 $900,000
Leonard & Co.   investor protection violation 2009 $225,000
Leonard & Company   investor protection violation 2009 $60,000
LH Ross   investor protection violation 2005 $11,968,000
Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2005 $950,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2011 $600,000
Lincoln Investment Planning, Inc.   investor protection violation 2009 $15,000
Linsco/Private Ledger Corp.   investor protection violation 2005 $3,602,398
LINSCO/Private Ledger Corp.   investor protection violation 2004 $450,000
Linsco/Private Ledger Corporation   investor protection violation 2005 $2,400,000
Loop Capital Markets, LLC   investor protection violation 2005 $40,000
Lord Abbett Distributor, LLC   investor protection violation 2005 $255,000
LPL Financial LLC LPL Financial financial services investor protection violation 2019 $280,000
LPL Financial LLC LPL Financial financial services investor protection violation 2016 $750,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $6,300,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $11,700,000
LPL Financial LLC LPL Financial financial services investor protection violation 2014 $950,000
LPL Financial LLC LPL Financial financial services investor protection violation 2013 $9,000,000
LPL Financial, LLC LPL Financial financial services investor protection violation 2018 $2,750,000
Lutheran Brotherhood Securities Corp.   investor protection violation 2001 $25,000
M.H. Meyerson, & Co., Inc.   investor protection violation 2002 $75,000
M&I Financial Advisors, Inc.   investor protection violation 2009 $150,000
M&T Securities, Inc. M&T Bank financial services investor protection violation 2009 $200,000
Macquarie Capital (USA) Inc. Macquarie financial services investor protection violation 2015 $2,950,000
McDonald Investments Inc.   investor protection violation 2005 $1,500,000
McLaughlin, Piven and Vogel Securities Inc.   investor protection violation 2006 $50,000
Merrill Lynch Bank of America financial services investor protection violation 2014 $6,000,000
Merrill Lynch Bank of America financial services investor protection violation 2012 $1,074,200
Merrill Lynch Bank of America financial services investor protection violation 2011 $3,000,000
Merrill Lynch Bank of America financial services investor protection violation 2010 $2,500,000
Merrill Lynch Bank of America financial services investor protection violation 2008 $250,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2012 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Bank of America financial services investor protection violation 2005 $14,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2020 $7,200,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services securities issuance or trading violation 2018 $5,990,530
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2016 $7,030,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2014 $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2013 $1,373,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2012 $500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2011 $1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2006 $5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2004 $109,527
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $4,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2017 $1,400,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2014 $2,440,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2013 $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2004 $250,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)