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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
Monex Securities Inc. investor protection violation2014$1,275,000
CitigroupCitigroupfinancial servicesinvestor protection violation2012$1,279,106
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$1,300,000
Mutual Service Corporation investor protection violation2005$1,300,000
National Planning Corporation Inc. investor protection violation2005$1,308,000
Morgan Stanley & Co. Inc. and Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2011$1,371,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2013$1,373,000
StateTrust Investments, Inc. investor protection violation2013$1,398,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2017$1,400,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2015$1,400,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
State Street Global Markets LLCState Street Corp.financial servicesinvestor protection violation2005$1,400,000
Commonwealth Financial Network investor protection violation2005$1,400,000
Wefunder Portal LLC investor protection violation2022$1,400,000
Oppenheimer and Co., Inc.Oppenheimer Holdingsfinancial servicesanti-money-laundering deficiencies2013$1,425,000
RBC Capital MarketsRoyal Bank of Canadafinancial servicesinvestor protection violation2015$1,434,000
SunTrust Investment Services, Inc.Truist Financialfinancial servicesinvestor protection violation2010$1,440,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$1,475,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2016$1,500,000
Brookville Capital Partners LLC investor protection violation2015$1,500,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2010$1,500,000
HSBC Securities (USA)HSBCfinancial servicesinvestor protection violation2010$1,500,000
Mutual Service Corporation investor protection violation2009$1,500,000
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005$1,500,000
McDonald Investments Inc. investor protection violation2005$1,500,000
State Street Research Investment Services, Inc.BlackRockfinancial servicesinvestor protection violation2004$1,500,000
Worldco LLC investor protection violation2004$1,500,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
IFC Holdings, Inc. d/b/a INVEST Financial Corporation investor protection violation2005$1,520,000
Worden Capital Management LLC investor protection violation2020$1,550,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
Instinet, LLC investor protection violation2018$1,575,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2004$1,600,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$1,600,000
SunTrust Robinson Humphrey, Inc.Truist Financialfinancial servicesinvestor protection violation2008$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
RBC Dain Rauscher, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2005$1,700,000
VALIC Financial Advisors, Inc.American International Groupfinancial servicesinvestor protection violation2016$1,750,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2011$1,750,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2009$1,750,000
Thomas Weisel PartnersStifel Financialfinancial servicesinvestor protection violation2005$1,750,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2015$1,800,000
Banc One Capital Markets, Inc. investor protection violation2001$1,800,000
Jefferies & Company, Inc.Jefferies Financial Groupdiversifiedinvestor protection violation2011$1,925,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2019$2,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$2,000,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2017$2,000,000
RBS Securities, Inc.NatWest Group PLCfinancial servicesinvestor protection violation2016$2,000,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$2,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2013$2,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
Santander Securities of Puerto RicoBanco Santanderfinancial servicesinvestor protection violation2011$2,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2009$2,000,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Chase Investment ServicesJPMorgan Chasefinancial servicesinvestor protection violation2005$2,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$2,000,000
NEXT Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2011$2,050,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2005$2,108,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2011$2,115,000
Morgan Stanley & Co., LLCMorgan Stanleyfinancial servicesinvestor protection violation2012$2,146,431
BRUT LLCNasdaq Inc.financial servicesinvestor protection violation2006$2,200,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2005$2,200,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2004$2,200,000
Diversified Investors Securities Corp. investor protection violation2006$2,250,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2001$2,300,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2012$2,354,584
Linsco/Private Ledger Corporation investor protection violation2005$2,400,000
FSC Securities Corp. investor protection violation2005$2,400,000
Securities America, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2005$2,400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2004$2,400,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2014$2,440,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2014$2,488,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2017$2,500,000
Needham & Company LLC investor protection violation2014$2,500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2010$2,500,000
SunAmerica Securities, Inc.American International Groupfinancial servicesinvestor protection violation2005$2,500,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2015$2,600,000
Brookstone Securities investor protection violation2012$2,600,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2007$2,600,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$2,650,000
Citigroup Global Markets, IncCitigroupfinancial servicesinvestor protection violation2012$2,741,489
LPL Financial, LLCLPL Financialfinancial servicesinvestor protection violation2018$2,750,000
Raymond James Financial Services Inc.Raymond James Financialfinancial servicesinvestor protection violation2007$2,750,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2017$2,800,000
Merrill Lynch, Pierce, Fenner and Smith Inc.Bank of Americafinancial servicesinvestor protection violation2016$2,800,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2012$2,800,000
ICAP Corporates LLCCME Groupfinancial servicesinvestor protection violation2009$2,800,000
Aegis Capital Corp. investor protection violation2021$2,800,000
Stifel Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$2,900,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2006$2,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.