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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,255,717,458
Number of Records: 2,801
Note: The parent penalty totals are adjusted to account for the fact that the list of individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
JPMorgan Chase$2,076,789,93829
Bank of America$1,933,986,17537
UBS$1,711,703,65443
Citigroup$1,555,476,21023
Goldman Sachs$966,302,86022
Wells Fargo$959,489,35627
Morgan Stanley$907,118,39537
American International Group$895,900,0004
State Street Corp.$831,780,0005
Allianz$748,996,4234

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.

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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Marco Investment Management, LLC investor protection violation2016$232,345
Maplelane Capital LLC investor protection violation2022$824,041
Manitex International, Inc. et al. investor protection violation2020$485,000
Manikay Partners investor protection violation2013$2,551,791
Manhattan Transfer Registrar Company investor protection violation2018$52,493
Manarin Investment Counsel, Ltd., et al. investor protection violation2013$1,052,747
Malvern Bancorp, Inc. investor protection violation2023$350,000
MaloneBailey, LL investor protection violation2016$100,000
Malachi Financial Products, Inc. investor protection violation2018$85,858
Magyar Telekom PlcDeutsche TelekomtelecommunicationsForeign Corrupt Practices Act2011$31,200,000
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016$250,000
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017$3,000,000
Madison Avenue Securities, LLC investor protection violation2022$803,173
Madden Funds Management Ltd. investor protection violation2021$25,000
Macroclimate LLC investor protection violation2023$100,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015$120,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
Mackensen & Company, Inc. investor protection violation2015$100,000
M2 Law Professional Corp. investor protection violation2016$154,267
M.S. Junior and Swiss Capital Holdings investor protection violation2013$427,936
M.A.G. Capital LLC investor protection violation2009$100,000
M Holdings Securities, Inc. investor protection violation2019$1,022,048
Lyxor Asset Management, Inc. investor protection violation2018$500,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023$10,000,000
Luther Speight & Company, LLC investor protection violation2023$20,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019$6,000,000
Luckin Coffee Inc. accounting fraud or deficiencies2020$180,000,000
Lucent Technologies Inc.NokiatelecommunicationsForeign Corrupt Practices Act2007$1,500,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004$25,000,000
Luca International Group, LLC investor protection violation2016$68,300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$9,333,516
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021$891,202
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
Louis Capital Markets, LP investor protection violation2017$2,500,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024$25,500,000
Loop Capital Markets, LLC investor protection violation2015$60,000
Loop Capital Markets, LLC investor protection violation2017$25,000
Loop Capital Markets, LLC investor protection violation2022$105,456
Longman & Associates, Inc. investor protection violation2000$10,000
Longfin Corp. investor protection violation2019$6,755,848
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011$750,000
Lone Star Value Management LLC investor protection violation2020$100,000
Lone Star Value Management and Heartland Advisors investor protection violation2017$300,000
Lone Star Transfer, Inc. investor protection violation2002$10,000
Logitech InternationalLogitech Internationalelectrical and electronic equipmentaccounting fraud or deficiencies2016$7,500,000
Lockwood Advisors, Incorporated investor protection violation2018$200,000
Lockwood Advisors, Inc. investor protection violation2019$52,187
Locke Capital Management Inc. investor protection violation2011$3,673,996
Loci Inc. investor protection violation2021$7,600,000
Lobster Point Holdings Limited investor protection violation2018$92,383
LNB Bancorp, Inc. investor protection violation2004$100,000
Lloyd George Management (HK) Limited investor protection violation2023$50,000
LKL Investment Counsel LLC investor protection violation2018$100,000
LiveWire Ergogenics Inc. investor protection violation2023$50,000
Liquidnet Inc. investor protection violation2014$2,000,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014$7,500,000
Lion Gate Capital, Inc. investor protection violation2009$150,000
Lion Biotechnologies, Inc. investor protection violation2017$100,000
Linsco/Private Ledger Corp. investor protection violation2004$2,232,805
Linkbrokers Derivatives LLC investor protection violation2014$14,000,000
Linden Thomas Advisory Services LLC investor protection violation2023$135,000
Lincolnshire Management investor protection violation2014$2,300,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024$8,500,000
Lime Rock Management investor protection violation2017$75,000
Lime Energy Co. accounting fraud or deficiencies2016$1,000,000
Lightyear Capital LLC investor protection violation2018$400,000
Lightspeed Trading, LLC investor protection violation2021$100,000
Lightspeed Trading LLC investor protection violation2014$478,216
Lightspeed Trading LLC investor protection violation2009$77,260
Lifeway Foods Inc. accounting fraud or deficiencies2019$100,000
Lichter, Yu and Associates, Inc., et al.? investor protection violation2018$64,900
Liberty Capital Group, Inc. investor protection violation2000$35,000
Li & Co. accounting fraud or deficiencies2018$70,143
Lexion Capital Management LP investor protection violation2021$10,000
Level Global Investors, L.P. investor protection violation2011$3,244,171
Level Global Investors LP investor protection violation2013$21,514,274
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014$55,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018$5,000,000
Lend Academy Investments, LLC investor protection violation2022$75,000
Lek Securities Corp. investor protection violation2019$1,525,892
Lehman Brothers, Inc. investor protection violation2003$2,500,000
Lehman Brothers Inc. investor protection violation2006$1,500,000
Lehman Brothers Inc. investor protection violation2003$80,000,000
Lehman Brothers Inc. investor protection violation2000$4,950,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$2,315,467
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018$34,500,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legendary Partners, LLC investor protection violation2023$412,542
Legendary Capital REIT III, LLC investor protection violation2023$774,331
Legend Securities, Inc. investor protection violation2011$50,000
Legal & General Investment Management America, Inc. investor protection violation2022$500,000
Legacy Hospitality II, LLC investor protection violation2023$3,892,012
Legacy Group, Inc. investor protection violation2021$502,726
Legacy Funding Services, LLC investor protection violation2022$60,000
Lefavi Wealth Management, Inc. investor protection violation2019$1,288,735
Lebenthal & Co., LLC investor protection violation2017$150,000
Lebenthal & Co. investor protection violation2014$54,000
Leaf Group Ltd. investor protection violation2022$325,000
LBMZ Securities, Inc. investor protection violation2017$240,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.