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 Industry Primary Offense Type Yearsort icon Penalty Amount
Cantor Fitzgerald & Co. Cantor Fitzgerald financial services investor protection violation 2015 $7,300,000
Fidelity Brokerage Services LLC Fidelity Investments financial services investor protection violation 2015 $1,030,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2015 $1,400,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $2,600,000
Edward D. Jones & Co., L.P. Jones Financial financial services investor protection violation 2015 $13,500,000
Stifel Nicolaus & Company, Inc. Stifel Financial financial services investor protection violation 2015 $2,900,000
Janney Montgomery Scott, LLC Penn Mutual financial services investor protection violation 2015 $1,200,000
AXA Advisors, LLC Equitable Holdings financial services investor protection violation 2015 $600,000
Stephens Inc.   investor protection violation 2015 $150,000
First Allied Securities, Inc.   investor protection violation 2015 $1,014,647
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2015 $963,534
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) investor protection violation 2015 $752,686
Cetera Advisors LLC   investor protection violation 2015 $702,622
Park Avenue Securities LLC   investor protection violation 2015 $743,255
Commonwealth Financial Network   investor protection violation 2015 $582,521
MetLife Securities, Inc. MetLife financial services investor protection violation 2015 $649,748
Comerica Securities Comerica financial services investor protection violation 2015 $347,757
Cetera Advisor Networks LLC   investor protection violation 2015 $301,108
Ameritas Investment Corp. Ameritas Mutual Holding Company financial services investor protection violation 2015 $278,544
Infinex Investments, Inc.   investor protection violation 2015 $259,627
The Huntington Investment Company   investor protection violation 2015 $135,973
Santander Securities LLC Banco Santander financial services investor protection violation 2015 $6,421,000
UBS Financial Services Incorporated of Puerto Rico UBS financial services investor protection violation 2015 $18,500,000
Charles Schwab & Co. Charles Schwab Corp. financial services investor protection violation 2015 $2,000,000
StockCross Financial Services, Inc.   investor protection violation 2015 $800,000
Aegis Capital Corp.   investor protection violation 2015 $950,000
Goldman Sachs Execution & Clearing, L.P. Goldman Sachs financial services investor protection violation 2015 $1,800,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2015 $15,000,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2015 $8,700,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $6,300,000
Morgan Stanley Smith Barney, LLC Morgan Stanley financial services investor protection violation 2015 $650,000
Scottrade, Inc. Charles Schwab Corp. financial services investor protection violation 2015 $300,000
Morgan Stanley & Co. LLC Morgan Stanley financial services investor protection violation 2015 $2,000,000
LPL Financial LLC LPL Financial financial services investor protection violation 2015 $11,700,000
RBC Capital Markets Royal Bank of Canada financial services investor protection violation 2015 $1,434,000
H. Beck, Inc.   investor protection violation 2015 $425,000
LaSalle St. Securities, LLC   investor protection violation 2015 $175,000
J.P. Turner & Company, LLC   investor protection violation 2015 $100,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2015 $3,750,000
First New York Securities L.L.C.   investor protection violation 2015 $916,000
Brookville Capital Partners LLC   investor protection violation 2015 $1,500,000
John Thomas Financial   investor protection violation 2015 $1,147,288
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC Wells Fargo financial services investor protection violation 2016 $4,000,000
RBC Capital Markets LLC and RBC Capital Markets Arbitrage S.A. Royal Bank of Canada financial services investor protection violation 2016 $3,500,000
RBS Securities, Inc. NatWest Group PLC financial services investor protection violation 2016 $2,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLC Wells Fargo financial services investor protection violation 2016 $1,500,000
SunTrust Robinson Humphrey, Inc. Truist Financial financial services investor protection violation 2016 $1,500,000
LPL Financial LLC LPL Financial financial services investor protection violation 2016 $750,000
Georgeson Securities Corporation   investor protection violation 2016 $650,000
PNC Capital Markets LLC PNC Financial Services financial services investor protection violation 2016 $50,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $3,250,000
Credit Suisse Securities (USA) LLC Credit Suisse financial services anti-money-laundering deficiencies 2016 $16,500,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services investor protection violation 2016 $7,030,000
VALIC Financial Advisors, Inc. American International Group financial services investor protection violation 2016 $1,750,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $3,425,000
VOYA Financial Advisors Inc. Voya Financial financial services investor protection violation 2016 $4,550,000
Cetera Advisor Networks LLC   investor protection violation 2016 $750,000
Cetera Financial Specialists LLC   investor protection violation 2016 $350,000
First Allied Securities, Inc.   investor protection violation 2016 $950,000
Summit Brokerage Services, Inc.   investor protection violation 2016 $500,000
VSR Financial Services, Inc.   investor protection violation 2016 $400,000
Kestra Investment Services, LLC   investor protection violation 2016 $475,000
FTB Advisors, Inc.   investor protection violation 2016 $250,000
Merrill Lynch, Pierce, Fenner and Smith Inc. Bank of America financial services investor protection violation 2016 $2,800,000
Avenir Financial Group   investor protection violation 2016 $229,000
Ameriprise Financial Services, Inc. Ameriprise Financial financial services investor protection violation 2016 $850,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $12,500,000
Barclays Capital Inc. Barclays financial services investor protection violation 2016 $1,300,000
Prudential Annuities Distributors, Inc. Prudential Financial financial services investor protection violation 2016 $950,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2016 $6,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc. Bank of America financial services investor protection violation 2016 $5,000,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2016 $2,966,000
E-Trade Securities LLC Morgan Stanley financial services investor protection violation 2016 $900,000
Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Raymond James Financial financial services anti-money-laundering deficiencies 2016 $17,000,000
Stephens Inc.   investor protection violation 2016 $900,000
MetLife Securities, Inc. MetLife financial services investor protection violation 2016 $25,000,000
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2016 $675,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $11,500,000
J.P. Morgan Securities JPMorgan Chase financial services investor protection violation 2017 $2,800,000
Raymond James Financial Services, Inc. Raymond James Financial financial services investor protection violation 2017 $2,000,000
Merrill Lynch, Pierce, Fenner & Smith Incorporated Bank of America financial services investor protection violation 2017 $1,400,000
J.P. Morgan Securities, LLC JPMorgan Chase financial services investor protection violation 2017 $1,250,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC Wells Fargo financial services investor protection violation 2017 $3,400,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services investor protection violation 2017 $13,030,000
C.L. King & Associates, Inc.   investor protection violation 2017 $750,000
Deutsche Bank Securities Inc. Deutsche Bank financial services investor protection violation 2017 $2,500,000
Citigroup Global Markets Inc. Citigroup financial services investor protection violation 2017 $1,000,000
J.P. Morgan Securities LLC JPMorgan Chase financial services investor protection violation 2017 $800,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2017 $450,000
Purshe Kaplan Sterling Investments   investor protection violation 2017 $4,150,000
Morgan Stanley Smith Barney LLC Morgan Stanley financial services anti-money-laundering deficiencies 2018 $10,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc. Bank of America financial services securities issuance or trading violation 2018 $5,990,530
UBS Financial Services Inc. and UBS Securities LLC UBS financial services anti-money-laundering deficiencies 2018 $5,000,000
LPL Financial, LLC LPL Financial financial services investor protection violation 2018 $2,750,000
Interactive Brokers LLC Interactive Brokers Group financial services investor protection violation 2018 $5,500,000
Industrial and Commercial Bank of China Financial Services LLC Industrial and Commercial Bank of China financial services anti-money-laundering deficiencies 2018 $5,300,000
Fifth Third Securities, Inc. Fifth Third Bancorp financial services investor protection violation 2018 $6,000,000
Instinet, LLC   investor protection violation 2018 $1,575,000
Aegis Capital Corp.   anti-money-laundering deficiencies 2018 $550,000
Wedbush Securities Inc. Wedbush Securities financial services investor protection violation 2018 $1,500,000
Oppenheimer & Co. Inc. Oppenheimer Holdings financial services investor protection violation 2019 $4,600,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)