Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,386,650,318
Number of Records: 
728

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$131,724,25740
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
Robinhood Markets$70,850,0002
Wells Fargo$63,743,47430
Deutsche Bank$54,832,00015
UBS$52,763,25014
Raymond James Financial$46,353,00011
Credit Suisse$36,835,00012
MetLife$33,424,7488


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Parent Parent Major Industry Primary Offense Type Year Penalty Amountsort icon
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2017 $800,000
StockCross Financial Services, Inc.   investor protection violation 2015 $800,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2014 $800,000
Guggenheim Securities, LLC   investor protection violation 2012 $800,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2010 $800,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2006 $800,000
SG Cowen, LLC Cowen Inc. financial services investor protection violation 2004 $800,000
Sentra Securities Corporation and Spelman & Co., Inc.   investor protection violation 2005 $780,000
Berthel Fisher & Company Financial Services, Inc. Berthel Fisher financial services investor protection violation 2014 $775,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2019 $772,000
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2004 $770,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2015 $752,686
TradeStation Securities, Inc.   investor protection violation 2008 $750,000
C.L. King & Associates, Inc.   investor protection violation 2017 $750,000
LPL Financial LLC LPL Financial financial services investor protection violation 2016 $750,000
Cetera Advisor Networks LLC   investor protection violation 2016 $750,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2013 $750,000
Comerica Securities, Inc. Comerica financial services investor protection violation 2008 $750,000
GunnAllen Financial, Inc.   investor protection violation 2008 $750,000
Park Avenue Securities LLC   investor protection violation 2015 $743,255
Davenport & Co. LLC   investor protection violation 2004 $738,000
First Allied Securities, Inc.   investor protection violation 2005 $734,500
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2012 $725,000
J.P. Turner & Company, L.L.C.   investor protection violation 2013 $707,559
Cetera Advisors LLC   investor protection violation 2015 $702,622
Workman Securities Corp.   investor protection violation 2011 $700,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2010 $700,000
Pacific Cornerstone Capital   investor protection violation 2009 $700,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2008 $700,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2004 $700,000
Sentinel Financial Services Company   investor protection violation 2004 $700,000
Ferris, Baker Watts LLC Royal Bank of Canada financial services investor protection violation 2010 $690,000
Jefferson Pilot Variable Corporation Lincoln National financial services investor protection violation 2005 $688,697
Goldman Sachs Goldman Sachs financial services investor protection violation 2012 $683,997
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2016 $675,000
SG Americas Securities, Inc. Societe Generale financial services investor protection violation 2013 $675,000
Hantz Financial Services, Inc.   investor protection violation 2005 $675,000
SII Investments, Inc.   investor protection violation 2005 $658,500
Georgeson Securities Corporation   investor protection violation 2016 $650,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services investor protection violation 2015 $650,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2011 $650,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2010 $650,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2010 $650,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2004 $650,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2015 $649,748
Securities America Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2014 $625,000
JP Morgan JPMorgan Chase financial services investor protection violation 2012 $623,376
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2015 $600,000
Northern Trust Securities Northern Trust financial services investor protection violation 2011 $600,000
Lincoln Financial Securities, Inc. and Lincoln Financial Advisors Corporation Lincoln National financial services investor protection violation 2011 $600,000
Scottrade Charles Schwab Corp. financial services anti-money-laundering deficiencies 2009 $600,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2009 $600,000
National Securities Corp.   investor protection violation 2004 $600,000
Commonwealth Financial Network   investor protection violation 2015 $582,521
Deutsche Bank Securities Deutsche Bank financial services investor protection violation 2010 $575,000
Quick & Reilly, Inc.   investor protection violation 2005 $570,000
Aegis Capital Corp.   anti-money-laundering deficiencies 2018 $550,000
Prudential Equity Group LLC Prudential Financial financial services investor protection violation 2004 $550,000
Peacock, Hislop, Staley & Given, Inc.   investor protection violation 2000 $539,117
J.C. Bradford & Co.   investor protection violation 2000 $536,000
J.P. Turner & Co.   anti-money-laundering deficiencies 2009 $525,000
E-Trade Securities, LLC Morgan Stanley financial services investor protection violation 2008 $500,000
Summit Brokerage Services, Inc.   investor protection violation 2016 $500,000
Charles Schwab & Co., Inc. Charles Schwab Corp. financial services investor protection violation 2014 $500,000
Charles Schwab & Company Charles Schwab Corp. financial services investor protection violation 2013 $500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2012 $500,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2011 $500,000
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2011 $500,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2009 $500,000
New England Securities MetLife financial services investor protection violation 2009 $500,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2007 $500,000
Chase Investment Services Corporation JPMorgan Chase financial services investor protection violation 2006 $500,000
MetLife Securities, Inc MetLife financial services investor protection violation 2006 $500,000
R.D. White & Co., Inc.   investor protection violation 2000 $500,000
Southwest Securities Inc. Hilltop Holdings financial services investor protection violation 2000 $500,000
Morgan Stanley & Co., Inc. Morgan Stanley financial services investor protection violation 2000 $495,000
Kestra Investment Services, LLC   investor protection violation 2016 $475,000
Banorte-Ixe Securities International, Ltd.   anti-money-laundering deficiencies 2014 $475,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services investor protection violation 2007 $473,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2017 $450,000
Penson Financial Services   anti-money-laundering deficiencies 2010 $450,000
IFMG Securities   investor protection violation 2009 $450,000
SMH Capital Inc.   investor protection violation 2008 $450,000
Advantage Capital Corp.   investor protection violation 2005 $450,000
LINSCO/Private Ledger Corp.   investor protection violation 2004 $450,000
PFS Investments, Inc.   investor protection violation 2004 $450,000
H. Beck, Inc.   investor protection violation 2015 $425,000
Citigroup Global Markets Citigroup financial services investor protection violation 2009 $425,000
KeyBanc Capital Markets, Inc. KeyCorp financial services investor protection violation 2009 $425,000
Scudder Distributors, Inc.   investor protection violation 2007 $425,000
Rafferty Capital Markets, LLC   investor protection violation 2007 $409,605
VSR Financial Services, Inc.   investor protection violation 2016 $400,000
Investors Capital Corporation   investor protection violation 2011 $400,000
Westpark Capital, Inc.   investor protection violation 2010 $400,000
Terra Nova Financial, LLC   investor protection violation 2009 $400,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2009 $400,000
Park Financial Group, Inc.   anti-money-laundering deficiencies 2009 $400,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services investor protection violation 2007 $400,000
David Lerner Associates, Inc.   investor protection violation 2006 $400,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2005 $400,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2004 $400,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)