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
Torrey Pines Securities, Inc.   investor protection violation 2001 $14,000
LaSalle St. Securities, L.L.C.   investor protection violation 2000 $13,000
Doyle, Miles & Co., L.L.C.   investor protection violation 2004 $12,500
Quantlab Securities, L.P.   investor protection violation 2004 $12,500
BNY Brokerage, Inc.   investor protection violation 2004 $12,000
Schwab Capital Markets Charles Schwab Corp. financial services investor protection violation 2001 $12,000
Index Securities, LLC   investor protection violation 2004 $11,000
Spelman & Co.   investor protection violation 2009 $10,000
Tejas Securities Group, Inc.   investor protection violation 2005 $10,000
UBS International Inc. UBS financial services investor protection violation 2005 $10,000
Mid-Atlantic Capital Corporation   investor protection violation 2004 $10,000
Options Trading Associates, LLC   investor protection violation 2004 $10,000
Transcend Capital, LP   investor protection violation 2004 $10,000
UBS Securities, L.L.C. UBS financial services investor protection violation 2004 $10,000
Gerard Klauer Mattison & Co., Inc.   investor protection violation 2001 $10,000
BancBoston Robertson Stephens   investor protection violation 2001 $10,000
J.P. Morgan Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Spear, Leeds & Kellogg Goldman Sachs financial services investor protection violation 2001 $10,000
Chase Securities, Inc. JPMorgan Chase financial services investor protection violation 2001 $10,000
Ramius Securities LLC   investor protection violation 2001 $10,000
Prudential Securities, Inc. Wells Fargo financial services investor protection violation 2001 $10,000
Stephen L. Falk & Associates, Inc.   investor protection violation 2009 $7,500
First Midwest Securities, Inc.   investor protection violation 2009 $7,000
GunnAllen Financial, Inc.   investor protection violation 2009 $6,000
Advantage Capital Corporation   investor protection violation 2009 $5,000
Financial West Group   investor protection violation 2009 $5,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)