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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 Industry sort iconPrimary Offense TypeYearPenalty Amount
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$290,262
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$12,300,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005$1,400,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2005$4,478,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005$2,108,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,158,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$1,250,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005$2,200,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$950,000
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005$363,500
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005$1,500,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2005$300,000
Morgan Stanley DW, Inc.Morgan Stanleyfinancial servicesinvestor protection violation2005$6,100,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$280,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2005$220,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$140,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2005$90,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005$90,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2005$60,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2005$60,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$40,000
UBS International Inc.UBSfinancial servicesinvestor protection violation2005$10,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$2,650,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$150,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$125,000
AllianceBernstein Investment Research and Management, Inc.Equitable Holdingsfinancial servicesinvestor protection violation2005$3,984,087
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005$2,970,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2005$2,500,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,700,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2005$900,000
SunTrust Capital Markets, Inc.Truist Financialfinancial servicesinvestor protection violation2005$100,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2005(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $16,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005$888,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$688,697
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$6,250,000
American Express Financial AdvisorsAmeriprise Financialfinancial servicesinvestor protection violation2005$13,000,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$2,000,000
Spear, Leeds & Kellogg, L.PGoldman Sachsfinancial servicesinvestor protection violation2005$1,000,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2005$275,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2005$250,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2005$400,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004$825,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$12,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$275,000
Morgan Stanley DW IncMorgan Stanleyfinancial servicesinvestor protection violation2004$336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004$1,600,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$700,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004$650,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004$550,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$400,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004$375,000
NYLife Securities, Inc.New York Life Insurancefinancial servicesinvestor protection violation2004$350,000
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004$300,000
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
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
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004$150,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004$150,000
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004$125,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2004$100,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2004$250,000
Credit Suisse First Boston, L.L.C.UBSfinancial servicesinvestor protection violation2004$50,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$15,000
Schwab Capital Markets, L.P.UBSfinancial servicesinvestor protection violation2004$70,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$16,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2004$75,000
UBS Securities, L.L.C.UBSfinancial servicesinvestor protection violation2004$10,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004$800,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$2,200,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$5,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2004$5,000,000
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
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004$2,400,000
Charles Schwab & Co, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$60,869
Edward JonesJones Financialfinancial servicesinvestor protection violation2004$25,181
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2004$109,527
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$38,312
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2004$17,306
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004$39,486
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
Stifel Nicolaus & CompanyStifel Financialfinancial servicesinvestor protection violation2004$125,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$300,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$4,950,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$5,290,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$5,390,000
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$10,000,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
State Street Research Investment Services, Inc.BlackRockfinancial servicesinvestor protection violation2004$1,500,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2004$280,469
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2004$36,971
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.