Track all Financial Industry Regulatory Authority (FINRA) fines and enforcement actions. 3987 penalties from 2005-2026. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: Financial Industry Regulatory Authority
- Jurisdiction: United States
- Tracked period: 2005-2026
- Tracked actions: 3987
- Default currency: EUR
Use This Data
Open the live RegActions workspace to filter the source records, inspect related firms, compare breach themes, and export the evidence for compliance or board reporting.
Country risk report: United States →
Largest enforcement actions
| Firm or individual | Date | Amount | Breach category | Source |
|---|---|---|---|---|
| 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 |
| CHARLES FREDERIK LEK | 22 Mar 2024 | £881,400 | OHO Decisions | Notice |
| LEK SECURITIES CORP. | 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 |
| Stash Capital LLC | 20 Mar 2026 | £351,000 | AWCs (Letters of Acceptance, Waiver, and Consent) | Notice |
Amounts are normalised to GBP for comparison.