FINRA Fines Database | Financial Industry Regulatory Authority Enforcement Actions
Track Financial Industry Regulatory Authority (FINRA) fines and enforcement actions from 2005-2026. Current totals are loaded from the live evidence view. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: Financial Industry Regulatory Authority
- Jurisdiction: United States
- Tracked period: 2005-2026
- Tracked actions: 4,209
- Latest tracked action: 2026-08-03
- Default currency: EUR
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Country risk report: United States →
Largest enforcement actions
| Firm or individual | Date | Amount | Breach category | Source |
|---|---|---|---|---|
| UBS Financial Services Inc. | 31 Jul 2026 | £15,600,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| AMERICAN FUNDS DISTRIBUTORS, INC. | 30 Aug 2006 | £3,900,000 | OHO Decisions | Notice |
| J.P. Morgan Securities LLC | 6 Apr 2026 | £2,535,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| Deutsche Bank Securities Inc. | 19 Nov 2025 | £1,950,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| Velox Clearing LLC | 23 Jun 2025 | £1,014,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| BYRON B. BARKLEY, JAMES C. SNOW | 27 Feb 2018 | £912,600 | OHO Decisions | Notice |
| WILSON-DAVIS & CO., INC. | 27 Feb 2018 | £912,600 | OHO Decisions | Notice |
| LEK SECURITIES CORP. | 22 Mar 2024 | £881,400 | OHO Decisions | Notice |
| CHARLES FREDERIK LEK | 22 Mar 2024 | £881,400 | OHO Decisions | Notice |
| TradeUP Securities, Inc. fka Marsco Investment Corp., US Tiger Securities, Inc. | 25 Apr 2025 | £741,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| Benjamin F. Edwards & Co., Inc. | 30 Jan 2026 | £585,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| Nomura Securities International, Inc. | 21 Nov 2025 | £487,500 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| BTIG, LLC | 25 Mar 2026 | £468,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| JOHN D. LOWRY, KIM M. MONCHIK | 28 Mar 2023 | £468,000 | OHO Decisions | Notice |
| SPARTAN CAPITAL SECURITIES, LLC | 28 Mar 2023 | £468,000 | OHO Decisions | Notice |
| Blue Ocean ATS | 4 May 2026 | £429,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| American Portfolios Financial Services, Inc., Osaic Wealth, Inc. | 29 Dec 2025 | £429,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| TD Ameritrade Clearing, Inc., TD Ameritrade, Inc. | 24 Sep 2025 | £429,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| U.S. Bancorp Investments, Inc. | 22 Aug 2025 | £390,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
| Ameriprise Financial Services, LLC | 2 Apr 2026 | £351,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
Amounts are normalised to GBP for comparison.