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 Typesort icon Year Penalty Amount
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2009 $1,000,000
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2009 $400,000
Mutual Service Corporation   investor protection violation 2009 $1,500,000
RD Capital Group   investor protection violation 2009 $1,000,000
NatCity Investments, Inc.   investor protection violation 2009 $300,000
M&T Securities, Inc. M&T Bank financial services investor protection violation 2009 $200,000
Janney Montgomery Scott LLC Penn Mutual financial services investor protection violation 2009 $200,000
M&I Financial Advisors, Inc.   investor protection violation 2009 $150,000
Centaurus Financial, Inc.   investor protection violation 2009 $175,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2009 $1,750,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2009 $900,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2009 $7,200,000
Wachovia Securities, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2009 $1,100,000
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
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2009 $300,000
Multi-Financial Securities Corporation   investor protection violation 2009 $150,000
H. Beck, Inc.   investor protection violation 2009 $140,000
SWS Financial Services   investor protection violation 2009 $70,000
Leonard & Company   investor protection violation 2009 $60,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2009 $55,000
SIGMA Financial Corporation   investor protection violation 2009 $50,000
Intersecurities, Inc.   investor protection violation 2009 $50,000
Fox & Company Investments Inc.   investor protection violation 2009 $45,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $32,500
vFinance Investments, Inc.   investor protection violation 2009 $27,500
Investors Capital Corp.   investor protection violation 2009 $25,000
ProEquities, Inc. Dai-ichi Life financial services investor protection violation 2009 $25,000
National Securities Corporation   investor protection violation 2009 $25,000
Gary Goldberg & Co., Inc   investor protection violation 2009 $19,500
FSC Securities Corporation   investor protection violation 2009 $15,000
Lincoln Investment Planning, Inc.   investor protection violation 2009 $15,000
Spelman & Co.   investor protection violation 2009 $10,000
Stephen L. Falk & Associates, Inc.   investor protection violation 2009 $7,500
First Midwest Securities, Inc.   investor protection violation 2009 $7,000
GunnAllen Financial, Inc.   investor protection violation 2009 $6,000
Advantage Capital Corporation   investor protection violation 2009 $5,000
Financial West Group   investor protection violation 2009 $5,000
Citigroup Global Markets Citigroup financial services investor protection violation 2009 $2,000,000
First New York Securities L.L.C.   investor protection violation 2009 $341,000
Robert W. Baird & Co.   investor protection violation 2009 $934,510
Wachovia Securities Wells Fargo financial services investor protection violation 2009 $4,500,000
Leonard & Co.   investor protection violation 2009 $225,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2008 $300,000
J.P. Turner & Company, LLC   investor protection violation 2008 $250,000
City National Securities   investor protection violation 2008 $315,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services investor protection violation 2008 $250,000
Harris Investor Services, Inc.   investor protection violation 2008 $150,000
Banorte Securities International, Ltd.   investor protection violation 2008 $1,100,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2008 $700,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2008 $1,650,000
Comerica Securities, Inc. Comerica financial services investor protection violation 2008 $750,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2008 $300,000
First Southwest Company   investor protection violation 2008 $300,000
WaMu Investments, Inc.   investor protection violation 2008 $250,000
GunnAllen Financial, Inc.   investor protection violation 2008 $750,000
American Fund Distributors   investor protection violation 2008 $5,000,000
Prudential Securities Wells Fargo financial services investor protection violation 2008 $1,050,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2008 $1,000,000
Pruco Securities Prudential Financial financial services investor protection violation 2008 $100,000
Merrill Lynch Bank of America financial services investor protection violation 2008 $250,000
Oppenheimer & Co. Oppenheimer Holdings financial services investor protection violation 2008 $4,500,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2008 $225,000
SMH Capital Inc.   investor protection violation 2008 $450,000
Broadpoint Capital, Inc.   investor protection violation 2008 $200,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2008 $200,000
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2008 $200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2008 $200,000
Needham & Company, LLC   investor protection violation 2008 $200,000
Robert W. Baird & Co., Inc.   investor protection violation 2008 $200,000
Thomas Weisel Partners, LLC Stifel Financial financial services investor protection violation 2008 $200,000
UBS Securities, LLC UBS financial services investor protection violation 2008 $200,000
Bear, Stearns & Co., Inc. JPMorgan Chase financial services investor protection violation 2008 $150,000
BMO Capital Markets Corp. Bank of Montreal financial services investor protection violation 2008 $150,000
Cowen and Company, LLC   investor protection violation 2008 $150,000
Deutsche Bank Securities, Inc., Deutsche Bank financial services investor protection violation 2008 $150,000
Leerink Swann & Company, Inc.   investor protection violation 2008 $150,000
RBC Capital Markets Corp. Royal Bank of Canada financial services investor protection violation 2008 $150,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services investor protection violation 2008 $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2008 $50,000
JMP Securities, LLC   investor protection violation 2008 $50,000
Pacific Crest Securities, Inc.   investor protection violation 2008 $50,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2008 $100,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2007 $500,000
Rafferty Capital Markets, LLC   investor protection violation 2007 $409,605
Wachovia Capital Markets, LLC Wells Fargo financial services investor protection violation 2007 $300,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2007 $1,000,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2007 $370,000
Morgan Stanley & Co. Morgan Stanley financial services investor protection violation 2007 $12,500,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2007 $2,600,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2007 $6,100,000
MML Investors Services, Inc. Massachusetts Mutual Life Insurance financial services investor protection violation 2007 $473,000
NYLIFE Securities LLC New York Life Insurance financial services investor protection violation 2007 $354,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2007 $322,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services investor protection violation 2007 $100,000
Wells Fargo Securities, LLC Wells Fargo financial services investor protection violation 2007 $250,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2007 $2,000,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2007 $15,200,000
HSBC Brokerage HSBC financial services investor protection violation 2007 $250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation Fidelity Investments financial services investor protection violation 2007 $400,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2007 $2,750,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)