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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.

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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2004$250,000
U.S. Bancorp Piper JaffrayPiper Sandlerfinancial servicesinvestor protection violation2002$250,000
NDB Capital Markets LP investor protection violation2001$250,000
All-Tech Direct, Inc. investor protection violation2001$250,000
Interactive Brokers, L.L.C.Interactive Brokers Groupfinancial servicesinvestor protection violation2002$230,000
Avenir Financial Group investor protection violation2016$229,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
Leonard & Co. investor protection violation2009$225,000
Banc One Securities CorporationJPMorgan Chasefinancial servicesinvestor protection violation2008$225,000
Credit Suisse Securities (USA), LLCUBSfinancial servicesinvestor protection violation2006$225,000
Trillium Trading LLC investor protection violation2006$225,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2001$225,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2005$220,000
Equity Services, Inc. investor protection violation2011$214,000
Buckman, Buckman & Reid, Inc. investor protection violation2019$205,000
SogoTrade, Inc. investor protection violation2023$204,767
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$200,666
Capital Financial Services investor protection violation2011$200,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2010$200,000
H&R Block Financial Advisors, Inc.H&R Blockfinancial servicesinvestor protection violation2010$200,000
Northwestern Mutual Investment Services, LLCNorthwestern Mutualfinancial servicesinvestor protection violation2009$200,000
M&T Securities, Inc.M&T Bankfinancial servicesinvestor protection violation2009$200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2009$200,000
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
EKN Financial Services Inc. investor protection violation2006$200,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2006$200,000
LaSalle Street Securities, Inc. investor protection violation2006$200,000
Banc of America Investment Services Inc.Bank of Americafinancial servicesinvestor protection violation2004$200,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004$200,000
New England SecuritiesMetLifefinancial servicesinvestor protection violation2004$200,000
Morgan Stanley & Co. Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$200,000
J. P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2000$200,000
J.P. Turner & Company, LLC investor protection violation2004$185,000
Financial Network Investment Corp. investor protection violation2004$185,000
LaSalle St. Securities, LLC investor protection violation2015$175,000
National Securities Corporation investor protection violation2011$175,000
Centaurus Financial, Inc. investor protection violation2009$175,000
Putnam Retail Management Limited PartnershipFranklin Resourcesfinancial servicesinvestor protection violation2007$175,000
Schonfeld & Company LLC investor protection violation2006$175,000
Nationwide Investment Services Corporation investor protection violation2004$175,000
Altegris Investments, Inc. investor protection violation2003$175,000
Worldco, LLC investor protection violation2002$175,000
Fagenson & Co., Inc. investor protection violation2010$165,000
Ko Securities, Inc. investor protection violation2001$162,450
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$160,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2009$152,000
Stephens Inc. investor protection violation2015$150,000
First Midwest Securities, Inc. investor protection violation2011$150,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$150,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
M&I Financial Advisors, Inc. investor protection violation2009$150,000
Multi-Financial Securities Corporation investor protection violation2009$150,000
Harris Investor Services, Inc. investor protection violation2008$150,000
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
Green Street Advisors investor protection violation2005$150,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$150,000
Allstate Financial Services LLCAllstatefinancial servicesinvestor protection violation2004$150,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2004$150,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2004$150,000
D.A. Davidson & Co. investor protection violation2004$150,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$150,000
Wells Investment Securities, Inc. investor protection violation2003$150,000
H. Beck, Inc. investor protection violation2009$140,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$140,000
The Huntington Investment Company investor protection violation2015$135,973
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2010$135,000
Sigma Financial Corporation investor protection violation2004$135,000
A&F Financial Securities, Inc. investor protection violation2011$125,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$125,000
Farmers Financial Solutions LLC investor protection violation2004$125,000
InterSecurities, Inc. investor protection violation2004$125,000
Jefferson Pilot Securities CorporationLincoln Nationalfinancial servicesinvestor protection violation2004$125,000
J.J.B. Hilliard, W.L. Lyons Inc. investor protection violation2004$125,000
Quick & Reilly, Inc. investor protection violation2004$125,000
Stifel Nicolaus & CompanyStifel Financialfinancial servicesinvestor protection violation2004$125,000
WMA Securities, Inc. investor protection violation2000$125,000
Lehman Brothers Inc. investor protection violation2004$123,882
DebtTraders, Inc. investor protection violation2005$120,000
First Trust Portfolios L.P investor protection violation2004$118,680
David Lerner Associates, Inc. investor protection violation2005$115,000
Providential Securities, Inc. investor protection violation2000$115,000
First Clearing Corporation investor protection violation2005$110,000
Stephens, Inc. investor protection violation2005$110,000
Stone & Youngberg, LLC investor protection violation2005$110,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2004$109,527
Swift Trade Securities USA, Inc. investor protection violation2002$101,000
J.P. Turner & Company, LLC investor protection violation2015$100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2009$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.