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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 IndustryPrimary Offense TypeYearPenalty Amount sort icon
Edward Jones & Co., LPJones Financialfinancial servicesinvestor protection violation2004$300,000
American Express Financial Advisors, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$300,000
Cetera Advisor Networks LLC investor protection violation2015$301,108
Rodman & Renshaw LLC investor protection violation2012$315,000
City National Securities investor protection violation2008$315,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007$322,000
Hornor, Townsend & Kent, Inc. investor protection violation2005$325,000
Morgan Stanley DW IncMorgan Stanleyfinancial servicesinvestor protection violation2004$336,510
First New York Securities L.L.C. investor protection violation2009$341,000
Comerica SecuritiesComericafinancial servicesinvestor protection violation2015$347,757
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$350,000
Cetera Financial Specialists LLC investor protection violation2016$350,000
Atlas One Financial Group, LLC anti-money-laundering deficiencies2013$350,000
National Financial Services investor protection violation2010$350,000
Legent Clearing, LLC anti-money-laundering deficiencies2009$350,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$350,000
Sanford C. Bernstein & Co.Equitable Holdingsfinancial servicesinvestor protection violation2006$350,000
NYLife Securities, Inc.New York Life Insurancefinancial servicesinvestor protection violation2004$350,000
WM Financial Services, Inc. investor protection violation2004$350,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2002$350,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$350,000
StartEngine Capital LLC investor protection violation2022$350,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2007$354,000
Investment Centers of America, Inc.LPL Financialfinancial servicesinvestor protection violation2005$363,500
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2010$375,000
D.A. Davidson & Co. investor protection violation2010$375,000
Metropolitan Life Insurance Co.MetLifefinancial servicesinvestor protection violation2004$375,000
Scott & Stringfellow, Inc. investor protection violation2000$393,263
VSR Financial Services, Inc. investor protection violation2016$400,000
Investors Capital Corporation investor protection violation2011$400,000
Westpark Capital, Inc. investor protection violation2010$400,000
Terra Nova Financial, LLC investor protection violation2009$400,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
Park Financial Group, Inc. anti-money-laundering deficiencies2009$400,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007$400,000
David Lerner Associates, Inc. investor protection violation2006$400,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2005$400,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$400,000
Rafferty Capital Markets, LLC investor protection violation2007$409,605
H. Beck, Inc. investor protection violation2015$425,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$425,000
KeyBanc Capital Markets, Inc.KeyCorpfinancial servicesinvestor protection violation2009$425,000
Scudder Distributors, Inc. investor protection violation2007$425,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2017$450,000
Penson Financial Services anti-money-laundering deficiencies2010$450,000
IFMG Securities investor protection violation2009$450,000
SMH Capital Inc. investor protection violation2008$450,000
Advantage Capital Corp. investor protection violation2005$450,000
LINSCO/Private Ledger Corp. investor protection violation2004$450,000
PFS Investments, Inc. investor protection violation2004$450,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
Kestra Investment Services, LLC investor protection violation2016$475,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014$475,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$495,000
E-Trade Securities, LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
Summit Brokerage Services, Inc. investor protection violation2016$500,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2014$500,000
Charles Schwab & CompanyCharles Schwab Corp.financial servicesinvestor protection violation2013$500,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2012$500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2011$500,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$500,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009$500,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
Chase Investment Services CorporationJPMorgan Chasefinancial servicesinvestor protection violation2006$500,000
MetLife Securities, IncMetLifefinancial servicesinvestor protection violation2006$500,000
R.D. White & Co., Inc. investor protection violation2000$500,000
Southwest Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2000$500,000
J.P. Turner & Co. anti-money-laundering deficiencies2009$525,000
Open to the Public Investing, Inc. investor protection violation2023$528,124
J.C. Bradford & Co. investor protection violation2000$536,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000$539,117
Aegis Capital Corp. anti-money-laundering deficiencies2018$550,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004$550,000
Quick & Reilly, Inc. investor protection violation2005$570,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
Commonwealth Financial Network investor protection violation2015$582,521
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2015$600,000
Northern Trust SecuritiesNorthern Trustfinancial servicesinvestor protection violation2011$600,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2011$600,000
ScottradeCharles Schwab Corp.financial servicesanti-money-laundering deficiencies2009$600,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2009$600,000
National Securities Corp. investor protection violation2004$600,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
Securities AmericaReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014$625,000
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015$649,748
Georgeson Securities Corporation investor protection violation2016$650,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$650,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2011$650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2010$650,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2010$650,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004$650,000
SII Investments, Inc. investor protection violation2005$658,500
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
SG Americas Securities, Inc.Societe Generalefinancial servicesinvestor protection violation2013$675,000
Hantz Financial Services, Inc. investor protection violation2005$675,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$688,697
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
SoFi Securities LLC investor protection violation2023$698,282
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.