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
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2000 $100,000
Cresap, Inc.   investor protection violation 2004 $99,458
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2000 $97,000
Banc of America Investment Services, Inc. Bank of America financial services investor protection violation 2005 $90,000
Raymond James & Associates, Inc. Raymond James Financial financial services investor protection violation 2005 $90,000
E-Trade Securities Morgan Stanley financial services investor protection violation 2001 $90,000
National Securities Corporation   investor protection violation 2005 $85,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services investor protection violation 2004 $75,000
M.H. Meyerson, & Co., Inc.   investor protection violation 2002 $75,000
NDB Capital Markets, LP   investor protection violation 2001 $75,000
Momentum Securities, LLC   investor protection violation 2001 $75,000
Asensio & Company, Inc.   investor protection violation 2000 $75,000
Botta Trading, LLC   investor protection violation 2000 $75,000
SWS Financial Services   investor protection violation 2009 $70,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services investor protection violation 2004 $70,000
SWS Financial Services   investor protection violation 2004 $66,468
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2001 $65,000
Ramius Securities L.L.C.   investor protection violation 2001 $61,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $60,869
Salomon Whitney LLC   investor protection violation 2011 $60,000
Leonard & Company   investor protection violation 2009 $60,000
Brinker Capital Securities, Inc.   investor protection violation 2005 $60,000
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2005 $60,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2005 $60,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2009 $55,000
PNC Capital Markets LLC PNC Financial Services financial services investor protection violation 2016 $50,000
SIGMA Financial Corporation   investor protection violation 2009 $50,000
Intersecurities, Inc.   investor protection violation 2009 $50,000
Friedman, Billings, Ramsey & Co., Inc. Arlington Asset Investment Corp. financial services investor protection violation 2008 $50,000
Jefferies & Company, Inc. Jefferies Financial Group diversified investor protection violation 2008 $50,000
JMP Securities, LLC   investor protection violation 2008 $50,000
Pacific Crest Securities, Inc.   investor protection violation 2008 $50,000
McLaughlin, Piven and Vogel Securities Inc.   investor protection violation 2006 $50,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services investor protection violation 2004 $50,000
Fleet Securities, Inc.   investor protection violation 2001 $50,000
Askar Corporation   investor protection violation 2011 $45,000
Fox & Company Investments Inc.   investor protection violation 2009 $45,000
Alpine Securities Corporation   investor protection violation 2010 $40,000
CIBC World Markets Corp. Canadian Imperial Bank of Commerce financial services investor protection violation 2005 $40,000
Emmet & Co., Inc.   investor protection violation 2005 $40,000
Loop Capital Markets, LLC   investor protection violation 2005 $40,000
Popular Securities, Inc.   investor protection violation 2005 $40,000
Sterling Financial Investment Group   investor protection violation 2002 $40,000
Fleet Securities, Inc.   investor protection violation 2001 $40,000
Herzog, Heine, Geduld, Inc.   investor protection violation 2001 $40,000
Banc of America Securities LLC Bank of America financial services investor protection violation 2001 $40,000
Kirkpatrick, Pettis, Smith, Polian Inc.   investor protection violation 2004 $39,935
Wachovia Securities, LLC. Wells Fargo financial services investor protection violation 2004 $39,486
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $38,312
Addison Securities, Inc.   investor protection violation 2000 $37,500
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2004 $36,971
Carlin Equities Corporation   investor protection violation 2004 $35,000
FutureTrade Securities, L.L.C   investor protection violation 2004 $35,000
Mutual Service Corporation, Inc.   investor protection violation 2001 $35,000
Cornerstone Securities Corporation   investor protection violation 2001 $35,000
David Lerner Associates, Inc.   investor protection violation 2004 $32,711
Chase Investment Services Corp. JPMorgan Chase financial services investor protection violation 2009 $32,500
First Union Brokerage Services, Inc. Wells Fargo financial services investor protection violation 2001 $32,500
Brecek & Young Advisors, Inc.   investor protection violation 2004 $31,224
BOSC, Inc.   investor protection violation 2005 $30,000
Pershing LLC   investor protection violation 2005 $30,000
Prager, Sealy & Co., LLC   investor protection violation 2005 $30,000
National Financial Services, L.L.C.   investor protection violation 2001 $30,000
Datek Online Brokerage Services, LLC   investor protection violation 2001 $30,000
vFinance Investments, Inc.   investor protection violation 2009 $27,500
Choice Investments, Inc.   investor protection violation 2000 $27,000
Edward Jones Jones Financial financial services investor protection violation 2004 $25,181
Newbridge Securities Corporation   investor protection violation 2011 $25,000
Equity Station, Inc.   investor protection violation 2010 $25,000
Investors Capital Corp.   investor protection violation 2009 $25,000
ProEquities, Inc. Dai-ichi Life financial services investor protection violation 2009 $25,000
National Securities Corporation   investor protection violation 2009 $25,000
Dalton Kent Securities Group, Inc.   investor protection violation 2001 $25,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2001 $25,000
Lutheran Brotherhood Securities Corp.   investor protection violation 2001 $25,000
1-800DAYTRADE.COM, Inc.   investor protection violation 2000 $25,000
Olympus Securities, LLC   investor protection violation 2010 $20,000
Pulse Trading, Inc.   investor protection violation 2004 $20,000
Windsor Capital Advisors, Inc.   investor protection violation 2001 $20,000
Prudential Securities Incorporated Wells Fargo financial services investor protection violation 2001 $20,000
Pershing Trading Company, L.P.   investor protection violation 2001 $20,000
ING Barings LLC   investor protection violation 2001 $20,000
CyBerBroker, Inc.   investor protection violation 2001 $20,000
Summit Trading, Inc.   investor protection violation 2001 $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
E-TRADE Securities, Inc. Morgan Stanley financial services investor protection violation 2000 $20,000
Gary Goldberg & Co., Inc   investor protection violation 2009 $19,500
Aegis Capital Corp.   investor protection violation 2001 $19,000
Herzog, Heine, Geduld, Inc.   investor protection violation 2001 $18,000
Donnelly & Co., Inc.   investor protection violation 2000 $17,500
Prudential Equity Group, LLC Prudential Financial financial services investor protection violation 2004 $17,306
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $16,000
FSC Securities Corporation   investor protection violation 2009 $15,000
Lincoln Investment Planning, Inc.   investor protection violation 2009 $15,000
Delta Asset Management Company, L.L.C.   investor protection violation 2004 $15,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $15,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2001 $15,000
Penson Financial Services, Inc.   investor protection violation 2001 $15,000
Allmerica Investments, Inc.   investor protection violation 2001 $15,000
Access Securities, Inc.   investor protection violation 2001 $14,000
Torrey Pines Securities, Inc.   investor protection violation 2001 $14,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)