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Data Sources

Data sourced from official agency press releases: DOJ, SEC, FTC, CFPB, FINRA, and state attorneys general.

© 2026 VerdictStats. All data from official government sources.

Financial Industry Regulatory Authority Statistics

149

Total Cases

$16.4M

Total Penalties

$230K

Average Penalty

Settled

Most Common Outcome

Cases by Year

Recent Cases

FINRA v. A.G.P. / Alliance Global Partners, LLCSettled$145K— · FINRA

FINRA v. A.G.P. / Alliance Global Partners, LLCSettled$145K—

In the Matter of Nafissa DialloPending—— · FINRA

In the Matter of Nafissa DialloPending——

FINRA v. Vincent Jerome CamardaPending—— · FINRA

FINRA v. Vincent Jerome CamardaPending——

In the Matter of Federico CardonaPending—— · FINRA

In the Matter of Federico CardonaPending——

In the Matter of Elmer Richard FergusonUnknown—— · FINRA

In the Matter of Elmer Richard FergusonUnknown——

FINRA v. Independence Capital Co., Inc.Settled—— · FINRA

FINRA v. Independence Capital Co., Inc.Settled——

In the Matter of BNY Mellon Capital Markets, LLCSettled$60K— · FINRA

In the Matter of BNY Mellon Capital Markets, LLCSettled$60K—

In the Matter of Wells Fargo Clearing Services, LLCSettled$1.3M— · FINRA

In the Matter of Wells Fargo Clearing Services, LLCSettled$1.3M—

In the Matter of BNP Paribas Securities Corp.Settled$125K— · FINRA

In the Matter of BNP Paribas Securities Corp.Settled$125K—

FINRA v. ABN AMRO Capital Markets (USA) LLCSettled$50K— · FINRA

FINRA v. ABN AMRO Capital Markets (USA) LLCSettled$50K—

View all Financial Industry Regulatory Authority cases →