Violation Tracker Agency Summary Page

Agency Name: 
Financial Industry Regulatory Authority
Penalty Total since 2000: 
$1,305,400,318
Number of Records: 
726

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$120,064,25738
Morgan Stanley$97,473,00738
Citigroup$80,585,59528
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
LPL Financial$32,093,5008


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
Capital Financial Services   investor protection violation 2011 $200,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2010 $200,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2010 $200,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services investor protection violation 2009 $200,000
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
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
EKN Financial Services Inc.   investor protection violation 2006 $200,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2006 $200,000
LaSalle Street Securities, Inc.   investor protection violation 2006 $200,000
Banc of America Investment Services Inc. Bank of America financial services investor protection violation 2004 $200,000
ING Financial Partners, Inc. Voya Financial financial services investor protection violation 2004 $200,000
New England Securities MetLife financial services investor protection violation 2004 $200,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2000 $200,000
J. P. Morgan Securities Inc. JPMorgan Chase financial services investor protection violation 2000 $200,000
J.P. Turner & Company, LLC   investor protection violation 2004 $185,000
Financial Network Investment Corp.   investor protection violation 2004 $185,000
LaSalle St. Securities, LLC   investor protection violation 2015 $175,000
National Securities Corporation   investor protection violation 2011 $175,000
Centaurus Financial, Inc.   investor protection violation 2009 $175,000
Putnam Retail Management Limited Partnership Power Financial Corporation financial services investor protection violation 2007 $175,000
Schonfeld & Company LLC   investor protection violation 2006 $175,000
Nationwide Investment Services Corporation   investor protection violation 2004 $175,000
Altegris Investments, Inc.   investor protection violation 2003 $175,000
Worldco, LLC   investor protection violation 2002 $175,000
Fagenson & Co., Inc.   investor protection violation 2010 $165,000
Ko Securities, Inc.   investor protection violation 2001 $162,450
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $160,000
Deutsche Bank Deutsche Bank financial services investor protection violation 2009 $152,000
Stephens Inc.   investor protection violation 2015 $150,000
First Midwest Securities, Inc.   investor protection violation 2011 $150,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2009 $150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2009 $150,000
M&I Financial Advisors, Inc.   investor protection violation 2009 $150,000
Multi-Financial Securities Corporation   investor protection violation 2009 $150,000
Harris Investor Services, Inc.   investor protection violation 2008 $150,000
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
Green Street Advisors   investor protection violation 2005 $150,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2005 $150,000
Allstate Financial Services LLC Allstate financial services investor protection violation 2004 $150,000
RBC Dain Rauscher, Inc. Royal Bank of Canada financial services investor protection violation 2004 $150,000
Wells Fargo Investments, LLC Wells Fargo financial services investor protection violation 2004 $150,000
World Group Securities, Inc. Aegon financial services investor protection violation 2004 $150,000
D.A. Davidson & Co.   investor protection violation 2004 $150,000
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services investor protection violation 2004 $150,000
Wells Investment Securities, Inc.   investor protection violation 2003 $150,000
H. Beck, Inc.   investor protection violation 2009 $140,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2005 $140,000
The Huntington Investment Company   investor protection violation 2015 $135,973
RBC Capital Markets Corporation Royal Bank of Canada financial services investor protection violation 2010 $135,000
Sigma Financial Corporation   investor protection violation 2004 $135,000
A&F Financial Securities, Inc.   investor protection violation 2011 $125,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2005 $125,000
Farmers Financial Solutions LLC   investor protection violation 2004 $125,000
InterSecurities, Inc.   investor protection violation 2004 $125,000
Jefferson Pilot Securities Corporation Lincoln National financial services investor protection violation 2004 $125,000
J.J.B. Hilliard, W.L. Lyons Inc.   investor protection violation 2004 $125,000
Quick & Reilly, Inc.   investor protection violation 2004 $125,000
Stifel Nicolaus & Company Stifel Financial financial services investor protection violation 2004 $125,000
WMA Securities, Inc.   investor protection violation 2000 $125,000
Lehman Brothers Inc. Lehman Brothers financial services investor protection violation 2004 $123,882
DebtTraders, Inc.   investor protection violation 2005 $120,000
First Trust Portfolios L.P   investor protection violation 2004 $118,680
David Lerner Associates, Inc.   investor protection violation 2005 $115,000
Providential Securities, Inc.   investor protection violation 2000 $115,000
First Clearing Corporation   investor protection violation 2005 $110,000
Stephens, Inc.   investor protection violation 2005 $110,000
Stone & Youngberg, LLC   investor protection violation 2005 $110,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2004 $109,527
Swift Trade Securities USA, Inc.   investor protection violation 2002 $101,000
J.P. Turner & Company, LLC   investor protection violation 2015 $100,000
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2009 $100,000
UBS Financial Services, Inc. UBS financial services investor protection violation 2009 $100,000
Pruco Securities Prudential Financial financial services investor protection violation 2008 $100,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2008 $100,000
Northwestern Mutual Investment Services, LLC Northwestern Mutual financial services investor protection violation 2007 $100,000
AllianceBernstein Investments, Inc. Equitable Holdings financial services investor protection violation 2007 $100,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2006 $100,000
Berean Capital Incorporated   investor protection violation 2006 $100,000
First Avantus Securities, Inc.   investor protection violation 2005 $100,000
SunTrust Capital Markets, Inc. Truist Financial financial services investor protection violation 2005 $100,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2004 $100,000
National Planning Corp.   investor protection violation 2004 $100,000
SII Investments, Inc.   investor protection violation 2004 $100,000
David Lerner Assoc.   investor protection violation 2004 $100,000
Hornblower & Weeks, Inc.   investor protection violation 2002 $100,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services investor protection violation 2001 $100,000
Kemper Distributors, Inc. Kemper financial services investor protection violation 2000 $100,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2000 $100,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)