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 Industrysort icon Primary Offense Type Year Penalty Amount
Jefferson Pilot Variable Corporation Lincoln National financial services investor protection violation 2005 $688,697
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2005 $6,250,000
American Express Financial Advisors Ameriprise Financial financial services investor protection violation 2005 $13,000,000
Chase Investment Services JPMorgan Chase financial services investor protection violation 2005 $2,000,000
Spear, Leeds & Kellogg, L.P Goldman Sachs financial services investor protection violation 2005 $1,000,000
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2005 $275,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2005 $250,000
Banc One Securities Corporation JPMorgan Chase financial services investor protection violation 2005 $400,000
H&R Block Financial Advisors, Inc. H&R Block financial services investor protection violation 2004 $825,000
Knight Securities, L.P. Virtu Financial financial services investor protection violation 2004 $12,500,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $275,000
Morgan Stanley DW Inc Morgan Stanley financial services investor protection violation 2004 $336,510
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2004 $1,600,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2004 $700,000
Wachovia Securities LLC Wells Fargo financial services investor protection violation 2004 $650,000
Prudential Equity Group LLC Prudential Financial financial services investor protection violation 2004 $550,000
Raymond James Financial Services Inc. Raymond James Financial financial services investor protection violation 2004 $400,000
Metropolitan Life Insurance Co. MetLife financial services investor protection violation 2004 $375,000
NYLife Securities, Inc. New York Life Insurance financial services investor protection violation 2004 $350,000
Edward Jones & Co., LP Jones Financial financial services investor protection violation 2004 $300,000
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
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
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
Jefferson Pilot Securities Corporation Lincoln National financial services investor protection violation 2004 $125,000
SunAmerica Securities, Inc. American International Group financial services investor protection violation 2004 $100,000
Citigroup Global Markets, Inc. Citigroup financial services investor protection violation 2004 $250,000
Credit Suisse First Boston, L.L.C. Credit Suisse financial services investor protection violation 2004 $50,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $15,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services investor protection violation 2004 $70,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $16,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs financial services investor protection violation 2004 $75,000
UBS Securities, L.L.C. UBS financial services investor protection violation 2004 $10,000
SG Cowen, LLC Cowen Inc. financial services investor protection violation 2004 $800,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $2,200,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2004 $5,000,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,000,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2004 $5,000,000
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
Piper Jaffray & Co. Piper Sandler financial services investor protection violation 2004 $2,400,000
Charles Schwab & Co, Inc. Charles Schwab Corp. financial services investor protection violation 2004 $60,869
Edward Jones Jones Financial financial services investor protection violation 2004 $25,181
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2004 $109,527
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2004 $38,312
Prudential Equity Group, LLC Prudential Financial financial services investor protection violation 2004 $17,306
UBS Financial Services Inc. UBS financial services investor protection violation 2004 $200,666
Wachovia Securities, LLC. Wells Fargo financial services investor protection violation 2004 $39,486
TD Waterhouse Investor Services, Inc. Toronto-Dominion Bank financial services investor protection violation 2004 $150,000
Stifel Nicolaus & Company Stifel Financial financial services investor protection violation 2004 $125,000
American Express Financial Advisors, Inc. Ameriprise Financial financial services investor protection violation 2004 $300,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $4,950,000
Deutsche Bank Securities, Inc. Deutsche Bank financial services investor protection violation 2004 $5,290,000
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2004 $5,390,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2004 $275,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2004 $250,000
State Street Research Investment Services, Inc. State Street Corp. financial services investor protection violation 2004 $1,500,000
Bear, Stearns & Co. Inc. JPMorgan Chase financial services investor protection violation 2004 $280,469
Lehman Brothers Inc. Lehman Brothers financial services investor protection violation 2004 $123,882
Southwest Securities, Inc. Hilltop Holdings financial services investor protection violation 2004 $36,971
Credit Suisse First Boston LLC Credit Suisse financial services investor protection violation 2004 $770,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC Prudential Financial financial services investor protection violation 2004 $11,500,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 (*) $50,000,000
Morgan Stanley DW Inc. Morgan Stanley financial services investor protection violation 2003 $2,000,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2003 $6,000,000
Robertson Stephens, Inc. Bank of America financial services investor protection violation 2003 (*) $14,000,000
American Express Financial Advisors Inc. Ameriprise Financial financial services investor protection violation 2002 $350,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2002 (*) $1,650,000
Goldman, Sachs & Co. Goldman Sachs financial services investor protection violation 2002 (*) $1,650,000
Morgan Stanley & Co. Incorporated Morgan Stanley financial services investor protection violation 2002 (*) $1,650,000
Salomon Smith Barney Inc. Morgan Stanley financial services investor protection violation 2002 (*) $1,650,000
U.S. Bancorp Piper Jaffray Inc. Piper Sandler financial services investor protection violation 2002 (*) $1,650,000
Salomon Smith Barney Morgan Stanley financial services investor protection violation 2002 $5,000,000
U.S. Bancorp Piper Jaffray Piper Sandler financial services investor protection violation 2002 $250,000
Interactive Brokers, L.L.C. Interactive Brokers Group financial services investor protection violation 2002 $230,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2002 (*) $50,000,000
Knight Securities L.P. Virtu Financial financial services investor protection violation 2002 $1,500,000
CUNA Brokerage Services, Inc. CUNA Mutual financial services investor protection violation 2001 $100,000
Prudential Securities Incorporated Wells Fargo financial services investor protection violation 2001 $20,000
BancBoston Robertson Stephens Bank of America financial services investor protection violation 2001 $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Schwab Capital Markets Charles Schwab Corp. financial services investor protection violation 2001 $12,000
Spear, Leeds & Kellogg Goldman Sachs financial services investor protection violation 2001 $10,000
E-Trade Securities Morgan Stanley financial services investor protection violation 2001 $90,000
Lehman Brothers, Inc. Lehman Brothers financial services investor protection violation 2001 $65,000
Banc of America Securities LLC Bank of America financial services investor protection violation 2001 $40,000
Credit Suisse First Boston Corporation Credit Suisse financial services investor protection violation 2001 $25,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2001 $15,000
Chase Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Josephthal & Co., Inc. Oppenheimer Holdings financial services investor protection violation 2001 $2,300,000
Stifel, Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2001 $225,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2001 $10,000
First Union Brokerage Services, Inc. Wells Fargo financial services investor protection violation 2001 $32,500
Morgan Stanley & Co. Inc. Morgan Stanley financial services investor protection violation 2000 $200,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)