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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$300,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002$350,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$278,544
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2008$50,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2006$4,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2011$2,050,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2009$1,000,000
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2015$6,421,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011$2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2020$7,200,000
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 Inc.Bank of Americafinancial servicessecurities issuance or trading violation2018$5,990,530
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$7,030,000
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 IncorporatedBank of Americafinancial servicesinvestor protection violation2014$2,440,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2014$4,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2014$6,000,000
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 IncorporatedBank of Americafinancial servicesinvestor protection violation2013$2,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013$1,373,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2012$1,074,200
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 violation2012$2,800,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2012$1,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2011$1,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$3,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010$2,500,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008$250,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008$200,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2007$3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2006$5,000,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2005$14,000,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2005$90,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004$1,600,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004$200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2004$250,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2004$109,527
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2001$40,000
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
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2022$5,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
BofA Securities, Inc.Bank of Americafinancial servicesinvestor protection violation2023$24,000,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008$150,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008$250,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Barclays Capital, Inc.Barclaysfinancial servicesinvestor protection violation2015$13,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$5,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$1,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2013$3,750,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2011$3,000,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2014$775,000
State Street Research Investment Services, Inc.BlackRockfinancial servicesinvestor protection violation2004$1,500,000
BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc.BNP Paribasfinancial servicesanti-money-laundering deficiencies2019$15,000,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesanti-money-laundering deficiencies2014$8,000,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$350,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$40,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2015$7,300,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,600,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,000,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$300,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2014$500,000
TD Ameritrade Clearing, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2013$1,150,000
Charles Schwab & CompanyCharles Schwab Corp.financial servicesinvestor protection violation2013$500,000
Charles Schwab & Company, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$18,000,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010$200,000
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009$600,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2005$250,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$16,000
Charles Schwab & Co, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$60,869
Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$10,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$280,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2019$1,250,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$11,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2017$1,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2014$15,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$2,488,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$1,097,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$1,279,106
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$3,500,000
Citigroup Global Markets, IncCitigroupfinancial servicesinvestor protection violation2012$2,741,489
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$725,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2011$500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010$650,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009$600,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$425,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008$300,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.