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
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2004 $400,000
Scott & Stringfellow, Inc.   investor protection violation 2000 $393,263
HSBC Securities (USA) Inc. HSBC financial services investor protection violation 2010 $375,000
D.A. Davidson & Co.   investor protection violation 2010 $375,000
Metropolitan Life Insurance Co. MetLife financial services investor protection violation 2004 $375,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2007 $370,000
Investment Centers of America, Inc. LPL Financial financial services investor protection violation 2005 $363,500
NYLIFE Securities LLC New York Life Insurance financial services investor protection violation 2007 $354,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2008 $350,000
Cetera Financial Specialists LLC   investor protection violation 2016 $350,000
Atlas One Financial Group, LLC   anti-money-laundering deficiencies 2013 $350,000
National Financial Services   investor protection violation 2010 $350,000
Legent Clearing, LLC   anti-money-laundering deficiencies 2009 $350,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2006 $350,000
Sanford C. Bernstein & Co. Equitable Holdings financial services investor protection violation 2006 $350,000
NYLife Securities, Inc. New York Life Insurance financial services investor protection violation 2004 $350,000
WM Financial Services, Inc.   investor protection violation 2004 $350,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2002 $350,000
First Union Securities, Inc. Wells Fargo financial services investor protection violation 2000 $350,000
Comerica Securities Comerica financial services investor protection violation 2015 $347,757
First New York Securities L.L.C.   investor protection violation 2009 $341,000
Morgan Stanley DW Inc Morgan Stanley financial services investor protection violation 2004 $336,510
Hornor, Townsend & Kent, Inc.   investor protection violation 2005 $325,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2007 $322,000
Rodman & Renshaw LLC   investor protection violation 2012 $315,000
City National Securities   investor protection violation 2008 $315,000
Cetera Advisor Networks LLC   investor protection violation 2015 $301,108
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $300,000
Firstrade Securities, Inc.   anti-money-laundering deficiencies 2013 $300,000
Garden State Securities, Inc.   investor protection violation 2011 $300,000
Wells Investment Securities, Inc.   investor protection violation 2011 $300,000
Pointe Capital, Inc.   investor protection violation 2011 $300,000
Pinnacle Capital Markets   anti-money-laundering deficiencies 2010 $300,000
NatCity Investments, Inc.   investor protection violation 2009 $300,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2009 $300,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2008 $300,000
SunTrust Investment Services, Inc. Truist Financial financial services investor protection violation 2008 $300,000
First Southwest Company   investor protection violation 2008 $300,000
Wachovia Capital Markets, LLC Wells Fargo financial services investor protection violation 2007 $300,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2005 $300,000
Edward Jones & Co., LP Jones Financial financial services investor protection violation 2004 $300,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services investor protection violation 2004 $300,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $290,262
Advest, Inc.   investor protection violation 2005 $286,415
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $280,469
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2019 $280,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2019 $280,000
LPL Financial LLC LPL Financial financial services investor protection violation 2019 $280,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2019 $280,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2019 $280,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $280,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2015 $278,544
John Thomas Financial   investor protection violation 2011 $275,000
US Bancorp Investments, Inc. U.S. Bancorp financial services investor protection violation 2010 $275,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2009 $275,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2009 $275,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $275,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $275,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2004 $275,000
UBS Securities UBS financial services investor protection violation 2009 $268,000
Infinex Investments, Inc.   investor protection violation 2015 $259,627
Lord Abbett Distributor, LLC   investor protection violation 2005 $255,000
FTB Advisors, Inc.   investor protection violation 2016 $250,000
World Trade Financial Corporation   anti-money-laundering deficiencies 2013 $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2011 $250,000
City Securities Corporation   investor protection violation 2009 $250,000
PNC Investments PNC Financial Services financial services investor protection violation 2009 $250,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $250,000
J.P. Turner & Company, LLC   investor protection violation 2008 $250,000
BNY Mellon Capital Markets, LLC Bank of New York Mellon financial services investor protection violation 2008 $250,000
WaMu Investments, Inc.   investor protection violation 2008 $250,000
Merrill Lynch Bank of America financial services investor protection violation 2008 $250,000
Wells Fargo Securities, LLC Wells Fargo financial services investor protection violation 2007 $250,000
HSBC Brokerage HSBC financial services investor protection violation 2007 $250,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2006 $250,000
RBC Dain Rauscher Inc. Royal Bank of Canada financial services investor protection violation 2006 $250,000
Royal Alliance Associates, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2006 $250,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2006 $250,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2005 $250,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2004 $250,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
MML Investor Services, Inc. Massachusetts Mutual Life Insurance financial services investor protection violation 2004 $250,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2004 $250,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $250,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services investor protection violation 2002 $250,000
NDB Capital Markets LP   investor protection violation 2001 $250,000
All-Tech Direct, Inc.   investor protection violation 2001 $250,000
Interactive Brokers, L.L.C. Interactive Brokers Group financial services investor protection violation 2002 $230,000
Avenir Financial Group   investor protection violation 2016 $229,000
Zions Direct, Inc. Zions Bancorporation financial services investor protection violation 2010 $225,000
Leonard & Co.   investor protection violation 2009 $225,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2008 $225,000
Credit Suisse Securities (USA), LLC Credit Suisse financial services investor protection violation 2006 $225,000
Trillium Trading LLC   investor protection violation 2006 $225,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2001 $225,000
ABN AMRO Incorporated ABN AMRO financial services investor protection violation 2005 $220,000
Equity Services, Inc.   investor protection violation 2011 $214,000
Buckman, Buckman & Reid, Inc.   investor protection violation 2019 $205,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)