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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
Lek Securities Corporation investor protection violation2019$900,000
E-Trade Securities LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$900,000
Stephens Inc. investor protection violation2016$900,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2005$900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2005$888,000
Summit Brokerage Services, Inc. investor protection violation2019$880,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2016$850,000
CCO Investment Services Corp.Citizens Financial Groupfinancial servicesinvestor protection violation2006$850,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2004$825,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2012$817,754
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2017$800,000
StockCross Financial Services, Inc. investor protection violation2015$800,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2014$800,000
Guggenheim Securities, LLC investor protection violation2012$800,000
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2010$800,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2006$800,000
SG Cowen, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2004$800,000
Sentra Securities Corporation and Spelman & Co., Inc. investor protection violation2005$780,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2014$775,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$772,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2004$770,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2015$752,686
TradeStation Securities, Inc. investor protection violation2008$750,000
C.L. King & Associates, Inc. investor protection violation2017$750,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2016$750,000
Cetera Advisor Networks LLC investor protection violation2016$750,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2013$750,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
GunnAllen Financial, Inc. investor protection violation2008$750,000
Park Avenue Securities LLC investor protection violation2015$743,255
Davenport & Co. LLC investor protection violation2004$738,000
First Allied Securities, Inc. investor protection violation2005$734,500
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2012$725,000
J.P. Turner & Company, L.L.C. investor protection violation2013$707,559
Cetera Advisors LLC investor protection violation2015$702,622
Workman Securities Corp. investor protection violation2011$700,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2010$700,000
Pacific Cornerstone Capital investor protection violation2009$700,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$700,000
Sentinel Financial Services Company investor protection violation2004$700,000
SoFi Securities LLC investor protection violation2023$698,282
Ferris, Baker Watts LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2010$690,000
Jefferson Pilot Variable CorporationLincoln Nationalfinancial servicesinvestor protection violation2005$688,697
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2012$683,997
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
SII Investments, Inc. investor protection violation2005$658,500
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
MetLife Securities, Inc.MetLifefinancial servicesinvestor protection violation2015$649,748
Securities AmericaReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2014$625,000
JP MorganJPMorgan Chasefinancial servicesinvestor protection violation2012$623,376
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
Commonwealth Financial Network investor protection violation2015$582,521
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2010$575,000
Quick & Reilly, Inc. investor protection violation2005$570,000
Aegis Capital Corp. anti-money-laundering deficiencies2018$550,000
Prudential Equity Group LLCPrudential Financialfinancial servicesinvestor protection violation2004$550,000
Peacock, Hislop, Staley & Given, Inc. investor protection violation2000$539,117
J.C. Bradford & Co. investor protection violation2000$536,000
Open to the Public Investing, Inc. investor protection violation2023$528,124
J.P. Turner & Co. anti-money-laundering deficiencies2009$525,000
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
Morgan Stanley & Co., Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$495,000
Kestra Investment Services, LLC investor protection violation2016$475,000
Banorte-Ixe Securities International, Ltd. anti-money-laundering deficiencies2014$475,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
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
H. Beck, Inc. investor protection violation2015$425,000
Citigroup Global MarketsCitigroupfinancial 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.