Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
CS First Boston Corp.UBSfinancial servicesinvestor protection violation2000$1,240,000
Credit Suisse SecuritiesUBSfinancial servicesinvestor protection violation2022$9,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2022$2,500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$12,500,000
Knight Securities L.P.Virtu Financialfinancial servicesinvestor protection violation2002$1,500,000
VOYA Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2016$4,550,000
ING Groep N.V.Voya Financialfinancial servicesinvestor protection violation2013$1,200,000
ING America Insurance Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2006$7,000,000
ING Funds DistributorVoya Financialfinancial servicesinvestor protection violation2005$1,500,000
ING Financial Partners, Inc.Voya Financialfinancial servicesinvestor protection violation2004$200,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,500,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2016$675,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2020$2,075,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2017$3,400,000
Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLCWells Fargofinancial servicesinvestor protection violation2016$4,000,000
Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2016$1,500,000
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2015$15,000,000
Wells Fargo Advisors and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesanti-money-laundering deficiencies2014$1,500,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2014$4,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2013$3,250,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2012$1,931,488
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2011$2,000,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesinvestor protection violation2011$1,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2009$275,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2009$1,400,000
Wachovia Securities, LLC and First Clearing, LLCWells Fargofinancial servicesinvestor protection violation2009$1,100,000
Wachovia SecuritiesWells Fargofinancial servicesinvestor protection violation2009$4,500,000
Prudential SecuritiesWells Fargofinancial servicesinvestor protection violation2008$1,050,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2007$300,000
Wells Fargo Securities, LLCWells Fargofinancial servicesinvestor protection violation2007$250,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2007$2,000,000
Wells Fargo InvestmentsWells Fargofinancial servicesinvestor protection violation2005$3,000,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2005$2,970,000
Wachovia Securities LLCWells Fargofinancial servicesinvestor protection violation2004$650,000
Wells Fargo Investments, LLCWells Fargofinancial servicesinvestor protection violation2004$150,000
Wachovia Securities, LLC.Wells Fargofinancial servicesinvestor protection violation2004$39,486
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$20,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2001$10,000
First Union Brokerage Services, Inc.Wells Fargofinancial servicesinvestor protection violation2001$32,500
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$350,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2000$5,890,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$100,000
Zions Direct, Inc.Zions Bancorporationfinancial servicesinvestor protection violation2010$225,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.