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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
Solus Alternative Asset Management investor protection violation2014$105,495
SoluTech, Inc. investor protection violation2020$25,000
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019$49,162
Soundpost Partners investor protection violation2013$113,315
Southlake Resources Group, LLC fraud2016$5,681,411
Southpoint Capital Advisors investor protection violation2013$534,757
Southridge Capital Management LLC and Southridge Advisors LLC investor protection violation2018$7,864,064
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2005$10,000,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management investor protection violation2017$50,000
Spark Trading Group LLC investor protection violation2019$694,915
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022$200,000
Sparkster Ltd investor protection violation2022$35,000,000
Spartan Securities Group, LTD investor protection violation2022$250,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004$45,272,478
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
Spencer International Advisors, Inc. investor protection violation2010$75,000
Spencer Pharmaceutical Inc. investor protection violation2015$1,000,000
Sperry and Sons Capital Investments, LLC investor protection violation2021$284,480
Spiderworx Media LLC investor protection violation2020$60,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006$495,596
Spire Wealth Mangement, LLC investor protection violation2019$594,072
Spring Hill Capital Markets, LLC, et al. investor protection violation2019$485,803
Springer Investment Management, Inc.? investor protection violation2005$50,000
Spruce Investment Advisors, LLC investor protection violation2022$75,000
Spruce Power Holding Corporation investor protection violation2023$11,000,000
SQN Capital Management, LLC investor protection violation2020$75,000
SQN Capital Management, LLC investor protection violation2023$200,000
SSN Advisory, Inc. investor protection violation2019$1,666,950
ST Invest LLC d/b/a Trade App investor protection violation2021$10,000
St. Germain Investment Management, Inc. investor protection violation2021$1,925,250
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015$2,750,000
Stable Road Acquisition Company investor protection violation2021$1,000,000
Stan D. Kiefer & Associates investor protection violation2002$10,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015$58,000,000
Standard Oil Company, Inc. investor protection violation2022$150,000
StarVest Management, Inc. investor protection violation2022$70,000
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014$75,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016$382,400,000
State Street Bank and Trust CompanyState Street Corp.financial servicesillicit political contributions2016$12,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017$35,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019$88,780,000
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
StateTrust Investments, Inc. investor protection violation2015$90,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
Stein Mart Inc. accounting fraud or deficiencies2015$800,000
Stephens Inc. investor protection violation2015$400,000
Stephens Inc. investor protection violation2019$5,489,119
Stericycle, Inc.Stericyclewaste management and environmental servicesForeign Corrupt Practices Act2022$28,200,000
Sterling Global Strategies LLC investor protection violation2018$175,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
Steward Capital Management, Inc. investor protection violation2022$75,000
Stiefel Laboratories Inc. investor protection violation2020$26,510,000
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019$6,037,175
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2016$24,500,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019$2,700,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017$300,000
Stilwell Value LLC investor protection violation2015$250,000
Stock Markets Institute, Inc. investor protection violation2012$75,000
Stockman Kast Ryan & Co. LLP investor protection violation2022$96,384
Stone Run Capital, LLC investor protection violation2022$25,000
Stonemor Partners L.P. and Stonemor GP LLC investor protection violation2019$250,000
Stoner Cats 2 LLC investor protection violation2023$1,000,000
Stracq, Inc. investor protection violation2005$660,000
Stratcomm Media Ltd. investor protection violation2003$45,400,000
Strategic Capital Group LLC investor protection violation2014$586,290
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. investor protection violation2020$1,031,270
Strategic Planning Group, Inc. investor protection violation2019$200,000
StratoComm Corporation accounting fraud or deficiencies2016$5,068,709
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004$80,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Strong Investment Management investor protection violation2019$1,061,157
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. investor protection violation2014$300,000
Stryker Corp.Strykermedical equipment and suppliesForeign Corrupt Practices Act2018$7,800,000
Stryker CorporationStrykermedical equipment and suppliesForeign Corrupt Practices Act2013$13,200,000
Students of Strength, Inc. investor protection violation2021$222,517
Success Holding Group International, Inc. investor protection violation2017$139,737
Success Trade, Inc. and Success Trade Securities, Inc. investor protection violation2015$26,158,214
Summit Asset Strategies accounting fraud or deficiencies2015$1,143,933
Summit Financial Advisors Inc. investor protection violation2021$25,000
Summit Financial Group, Inc. investor protection violation2019$1,032,702
Summit Financial Group, Inc. investor protection violation2020$1,206,882
Summit Planning Group, Inc. investor protection violation2023$109,401
Summit Trust Company accounting fraud or deficiencies2015$18,900,000
Summitcrest Capital, Inc. investor protection violation2023$23,181,761
Sunset Investment Group, Inc. investor protection violation2001$70,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017$1,100,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006$125,000
Super Micro Computer, Inc.Super Micro Computer Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$17,500,000
Sure Trace Security Corporation investor protection violation2007$1,098,900
Surgalign Holdings, Inc. investor protection violation2022$2,000,000
Susquehanna Investment Group investor protection violation2009$7,640,000
SuttonBrook Capital Management investor protection violation2014$70,000
Sweetwater Investments, Inc. investor protection violation2019$1,164,747
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016$2,000,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Sycamore Lane Partners LLC investor protection violation2018$134,042
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004$37,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.