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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
BroCo Investments, Inc. accounting fraud or deficiencies2010$627,633
Brooge Energy Limited investor protection violation2023$5,000,000
Brookside Capital, LLC investor protection violation2011$2,124,079
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014$120,000
Bruderman Asset Management LLC investor protection violation2023$250,000
Bruker CorporationBrukermiscellaneous manufacturingForeign Corrupt Practices Act2014$2,400,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003$45,000
BTIG, LLC investor protection violation2022$690,000
BTS Asset Management Inc. investor protection violation2023$135,000
BTS Asset Management, Inc. investor protection violation2012$200,000
Buckman Advisory Group, LLC investor protection violation2022$75,000
Burrill Capital Management accounting fraud or deficiencies2016$4,785,000
Business & Financial Advisors, Inc. investor protection violation2001$128,817
Cabela'sBass Proretailingaccounting fraud or deficiencies2016$1,000,000
Cadaret and Grant & Co., Inc. investor protection violation2017$3,048,000
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018$513,194
CAI Managers & Co. L.P. investor protection violation2018$75,000
Calhoun Asset Management, LLC investor protection violation2012$50,000
California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu fraud2000$2,876,405
Calton & Associates, Inc. investor protection violation2019$305,044
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019$250,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017$22,614,534
Cambria Capital, LLC investor protection violation2023$100,000
Cambridge Investment Research Advisors, Inc. investor protection violation2016$225,000
Cambridge Investment Research Advisors, Inc. investor protection violation2019$6,187,562
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. investor protection violation2021$250,000
Cambridge Investment Research Inc. investor protection violation2024$10,000,000
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007$3,925,000
Canaan Management, LLC investor protection violation2022$95,000
Canaccord Genuity Inc. investor protection violation2016$550,198
Canaccord Genuity LLC investor protection violation2019$250,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003$80,000,000
Canadian Solar Inc. accounting fraud or deficiencies2014$500,000
Canarsie Capital, LLC investor protection violation2015$3,494,938
Candlestick Capital Management LP investor protection violation2023$810,000
Cannell Capital, LLC investor protection violation2020$150,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023$1,500,000
Cantaloupe, Inc. investor protection violation2023$1,500,000
Cantella & Co. investor protection violation2016$100,000
Cantella & Co., Inc. investor protection violation2019$919,597
Cantella & Co., Inc. investor protection violation2021$701,630
Cantella & Company, Inc. investor protection violation2006$50,000
Canterbury Consulting, Inc. investor protection violation2017$172,986
Canton Hathaway LLC investor protection violation2021$25,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$647,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023$1,400,000
Capital Analysts Incorporated investor protection violation2005$450,000
Capital Analysts, LLC investor protection violation2018$1,820,349
Capital Concept Marketing, Inc. investor protection violation2005$580,000
Capital Cove Bancorp LLC investor protection violation2018$1,829,868
Capital Dynamics, Inc. investor protection violation2017$275,000
Capital Financial Partners, LLC et al. investor protection violation2017$15,700,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013$3,500,000
Capital Portfolio Management Inc. investor protection violation2021$25,000
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013$4,997,077
Capital Source Lending LLC investor protection violation2019$5,720,451
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Capitol Securities Management, Inc. investor protection violation2020$203,414
Cardiff Lexington Corporation investor protection violation2018$25,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007$35,000,000
Cardinal Health, Inc.Cardinal HealthwholesalersForeign Corrupt Practices Act2020$8,000,000
Cargile Investment Management Inc. investor protection violation2019$70,140
Carl M. Hennig, Inc. investor protection violation2023$50,000
Carlson Capital, L.P. investor protection violation2010$2,653,234
Carmel Capital Management LLC investor protection violation2021$25,000
CarrierEQ Inc. (Airfox) investor protection violation2018$250,000
Cascade Investment Group, Inc investor protection violation2021$125,000
Castle Wealth Planning LLC investor protection violation2021$25,000
Catalyst Capital Advisors, LLC investor protection violation2020$10,508,481
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023$375,000
CDH & Affiliates, Inc. investor protection violation2004$4,317,616
Celadon Financial Group LLC investor protection violation2020$125,000
Celebrity Resorts and Casinos, Inc. investor protection violation2004$347,250
Cemtrex, Inc. investor protection violation2022$2,200,000
Centaur Management Co. LLC investor protection violation2012$364,322
Centaurus Financial, Inc. investor protection violation2021$1,281,396
Centaurus Financial, Inc. investor protection violation2023$755,499
Centrais Eletricas Brasileiras S.A.? Foreign Corrupt Practices Act2018$2,500,000
Central States Capital Markets, LLC investor protection violation2015$60,000
Central States Capital Markets, LLC investor protection violation2016$374,827
Centre Partners Management, LLC investor protection violation2017$50,000
Cetera Advisor Networks LLC et al. investor protection violation2021$300,000
Cetera Advisors, LLC and Cetera Advisor Networks, LLC investor protection violation2022$8,605,470
Cetera Investment Advisers LLC investor protection violation2019$185,000
CFO-5 LLC investor protection violation2010$3,197,222
CGI Capital, Inc. investor protection violation2000$25,000
Channing Capital Management, LLC investor protection violation2019$50,000
Chardan Capital Markets LLC anti-money-laundering deficiencies2018$1,000,000
Charles Pratt & Company, LLC investor protection violation2022$100,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$350,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$2,800,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022$187,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$118,000,000
Charter Capital Management, LLC investor protection violation2019$40,000
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023$25,000,000
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022$3,625,263
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.