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: 21,318
- Latest tracked action: 2026-09-09
- Default currency: EUR
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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 |
| 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 |
| 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.
Frequently asked questions
What is the largest FINRA fine?
The largest FINRA fine currently recorded by RegActions is £3,900,000, issued to AMERICAN FUNDS DISTRIBUTORS; INC. on 30 Aug 2006 by the Financial Industry Regulatory Authority. This reflects amounts that have passed RegActions' amount-review gate; see the FINRA fines database below for the complete, source-linked list.
How much has FINRA fined in 2026?
RegActions records £6,684,155 in disclosed Financial Industry Regulatory Authority (FINRA) monetary penalties in 2026, based on source-linked notices that have passed the amount-review gate. This excludes non-monetary actions such as prohibitions and public censures.
How many FINRA penalties were issued in 2026?
RegActions has recorded 50 disclosed Financial Industry Regulatory Authority (FINRA) monetary penalties in 2026 so far. This counts individual penalty notices, not firms, since some are fined more than once in a year.
How can I verify a FINRA fine?
Start with the firm or individual name, the penalty date and the disclosed amount, then open the linked Financial Industry Regulatory Authority notice. The notice sets out the rule breaches, the affected period and the sanction. RegActions links every record to its official source; the regulator's own publication remains the authoritative record.