Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense Type sort iconYearPenalty Amount
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2009$1,000,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$400,000
Mutual Service Corporation investor protection violation2009$1,500,000
RD Capital Group investor protection violation2009$1,000,000
NatCity Investments, Inc. investor protection violation2009$300,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
Centaurus Financial, Inc. investor protection violation2009$175,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2009$900,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2009$7,200,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2009$500,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2009$500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2009$300,000
Multi-Financial Securities Corporation investor protection violation2009$150,000
H. Beck, Inc. investor protection violation2009$140,000
SWS Financial Services investor protection violation2009$70,000
Leonard & Company investor protection violation2009$60,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$55,000
SIGMA Financial Corporation investor protection violation2009$50,000
Intersecurities, Inc. investor protection violation2009$50,000
Fox & Company Investments Inc. investor protection violation2009$45,000
Chase Investment Services Corp.JPMorgan Chasefinancial servicesinvestor protection violation2009$32,500
vFinance Investments, Inc. investor protection violation2009$27,500
Investors Capital Corp. investor protection violation2009$25,000
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2009$25,000
National Securities Corporation investor protection violation2009$25,000
Gary Goldberg & Co., Inc investor protection violation2009$19,500
FSC Securities Corporation investor protection violation2009$15,000
Lincoln Investment Planning, Inc. investor protection violation2009$15,000
Spelman & Co. investor protection violation2009$10,000
Stephen L. Falk & Associates, Inc. investor protection violation2009$7,500
First Midwest Securities, Inc. investor protection violation2009$7,000
GunnAllen Financial, Inc. investor protection violation2009$6,000
Advantage Capital Corporation investor protection violation2009$5,000
Financial West Group investor protection violation2009$5,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
First New York Securities L.L.C. investor protection violation2009$341,000
Robert W. Baird & Co. investor protection violation2009$934,510
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Leonard & Co. investor protection violation2009$225,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2008$300,000
J.P. Turner & Company, LLC investor protection violation2008$250,000
City National Securities investor protection violation2008$315,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2008$250,000
Harris Investor Services, Inc. investor protection violation2008$150,000
Banorte Securities International, Ltd. investor protection violation2008$1,100,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$700,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2008$750,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2008$300,000
First Southwest Company investor protection violation2008$300,000
WaMu Investments, Inc. investor protection violation2008$250,000
GunnAllen Financial, Inc. investor protection violation2008$750,000
American Fund Distributors investor protection violation2008$5,000,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2008$1,000,000
Pruco SecuritiesPrudential Financialfinancial servicesinvestor protection violation2008$100,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2008$250,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2008$4,500,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
SMH Capital Inc. investor protection violation2008$450,000
Broadpoint Capital, Inc. investor protection violation2008$200,000
CIBC World Markets Corp.Canadian Imperial Bank of Commercefinancial servicesinvestor protection violation2008$200,000
Lehman Brothers, Inc. investor protection violation2008$200,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2008$200,000
Needham & Company, LLC investor protection violation2008$200,000
Robert W. Baird & Co., Inc. investor protection violation2008$200,000
Thomas Weisel Partners, LLCStifel Financialfinancial servicesinvestor protection violation2008$200,000
UBS Securities, LLCUBSfinancial servicesinvestor protection violation2008$200,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2008$150,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2008$150,000
Cowen and Company, LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2008$150,000
Deutsche Bank Securities, Inc.,Deutsche Bankfinancial servicesinvestor protection violation2008$150,000
Leerink Swann & Company, Inc. investor protection violation2008$150,000
RBC Capital Markets Corp.Royal Bank of Canadafinancial servicesinvestor protection violation2008$150,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2008$50,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2008$50,000
JMP Securities, LLC investor protection violation2008$50,000
Pacific Crest Securities, Inc. investor protection violation2008$50,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2008$100,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2007$500,000
Rafferty Capital Markets, LLC investor protection violation2007$409,605
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2007$1,000,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2007$370,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2007$12,500,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2007$6,100,000
MML Investors Services, Inc.Massachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2007$473,000
NYLIFE Securities LLCNew York Life Insurancefinancial servicesinvestor protection violation2007$354,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2007$322,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2007$100,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$15,200,000
HSBC BrokerageHSBCfinancial servicesinvestor protection violation2007$250,000
Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors CorporationFidelity Investmentsfinancial servicesinvestor protection violation2007$400,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.