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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
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$2,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006$200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2011$1,371,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$5,390,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$200,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009$7,200,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2007$12,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$2,650,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$817,754
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2006$2,900,000
Monex Securities Inc. investor protection violation2014$1,275,000
Momentum Securities, LLC investor protection violation2001$75,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
MML Investor Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2004$250,000
Miller Tabak Roberts Securities, LLC investor protection violation2004$5,000,000
Mid-Atlantic Capital Corporation investor protection violation2004$10,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004$375,000
Metropolitan Investment Securities, Inc. investor protection violation2003$4,300,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2006$5,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2016$25,000,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015$649,748
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2009$1,200,000
MetLife Securities, IncMetLifefinancial servicesinvestor protection violation2006$500,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2016$5,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$32,400,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2014$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2012$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004$1,600,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2001$15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2000$97,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2021$11,650,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2022$15,200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$280,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$4,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2014$2,440,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2013$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2004$250,000
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
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 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
McLaughlin, Piven and Vogel Securities Inc. investor protection violation2006$50,000
McDonald Investments Inc. investor protection violation2005$1,500,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$2,950,000
M1 Finance LLC investor protection violation2023$1,236,918
M.H. Meyerson, & Co., Inc. investor protection violation2002$75,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
Lutheran Brotherhood Securities Corp. investor protection violation2001$25,000
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
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
Lord Abbett Distributor, LLC investor protection violation2005$255,000
Loop Capital Markets, LLC investor protection violation2005$40,000
Linsco/Private Ledger Corporation investor protection violation2005$2,400,000
Linsco/Private Ledger Corp. investor protection violation2005$3,602,398
LINSCO/Private Ledger Corp. investor protection violation2004$450,000
Lincoln Investment Planning, Inc. investor protection violation2009$15,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011$600,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$950,000
LH Ross investor protection violation2005$11,968,000
Leonard & Company investor protection violation2009$60,000
Leonard & Co. investor protection violation2009$225,000
Lek Securities Corporation investor protection violation2019$900,000
Lehman Brothers, Inc. investor protection violation2008$200,000
Lehman Brothers, Inc. investor protection violation2001$65,000
Lehman Brothers Inc. investor protection violation2004$123,882
Legent Clearing, LLC anti-money-laundering deficiencies2009$350,000
Legacy Trading Co., LLC investor protection violation2009$1,007,035
Leerink Swann & Company, Inc. investor protection violation2008$150,000
LaSalle Street Securities, Inc. investor protection violation2006$200,000
LaSalle St. Securities, LLC investor protection violation2015$175,000
LaSalle St. Securities, L.L.C. investor protection violation2000$13,000
Ladenburg Thalmann & Co.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$1,200,000
Ko Securities, Inc. investor protection violation2001$162,450
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$12,500,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
Kirkpatrick, Pettis, Smith, Polian Inc. investor protection violation2004$39,935
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.