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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearPenalty Amount
Clay Capital Management LLC investor protection violation2012$850,000
FalconStor Software, Inc. investor protection violation2012$2,900,000
AMMB Consultant Sendirian Berhad investor protection violation2012$1,550,000
New Futures Trading International Corporation investor protection violation2012$1,433,889
Global Development & Environmental Resources, Inc. investor protection violation2012$2,645,798
Martin Currie investor protection violation2012$8,300,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012$1,817,277
Pentagon Capital Management investor protection violation2012$98,600,000
United American Ventures, LLC investor protection violation2012$9,079,372
Diamondback Capital Management LLC investor protection violation2012$9,000,000
Drake Asset Management LLC investor protection violation2011$175,000
Banco Espirito Santo S.A. investor protection violation2011$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011$750,000
Wall Street Capital Funding LLC investor protection violation2011$300,000
Locke Capital Management Inc. investor protection violation2011$3,673,996
LaBarge Inc. accounting fraud or deficiencies2011$200,000
Onele Trading & Finance Ltd. investor protection violation2011$5,729,276
Aerokinetic Energy Corporation investor protection violation2011$859,571
LandOak Securities LLC investor protection violation2011$992,140
Navigators International Management Co., Ltd. investor protection violation2011$45,000
Deerfield Capital Corp. accounting fraud or deficiencies2011$1,277,070
Hudson Highland Group accounting fraud or deficiencies2011$200,000
Enzyme Environmental Solutions, Inc. investor protection violation2011$371,135
BroCo Investments, Inc. accounting fraud or deficiencies2010$627,633
Winning Kids Inc. investor protection violation2010$2,183,964
Berkshire Resources, L.L.C. investor protection violation2010$16,255,846
Prime Time Group Inc. investor protection violation2010$325,000
ASMAC Financial, Inc. investor protection violation2010$133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010$12,574,582
Thompson Consulting Inc. investor protection violation2010$400,000
Pequot Capital Management, Inc. investor protection violation2010$28,000,000
CFO-5 LLC investor protection violation2010$3,197,222
Quadrangle Group LLC kickbacks and bribery2010$5,000,000
Presstek Inc. investor protection violation2010$400,000
First Allied Securities, Inc. investor protection violation2010$1,950,000
Wealth Management LLC investor protection violation2010$1,471,002
AGB Partners LLC investor protection violation2010$50,000
Palmyra Capital Advisors LLC, investor protection violation2010$330,000
UTStarcom, Inc. Foreign Corrupt Practices Act2009$1,500,000
Investools Inc. fraud2009$3,000,000
Compass Capital Group, Inc. investor protection violation2009$800,000
Concorde America, Inc. investor protection violation2009$841,175
GMC Holding Corporation investor protection violation2009$2,090,000
SafeNet, Inc. accounting fraud or deficiencies2009$1,000,000
Value Line Inc. investor protection violation2009$43,705,765
Thompson Price Holding Inc. investor protection violation2009$288,815
Lion Gate Capital, Inc. investor protection violation2009$150,000
Hazan Capital Management LLC investor protection violation2009$4,000,000
TJM Proprietary Trading LLC investor protection violation2009$541,000
Perry Corp. investor protection violation2009$150,000
Marshall Holdings International, Inc. investor protection violation2009$8,974,033
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009$1,400,000
Golden State Equity Investors, Inc. investor protection violation2009$1,577,579
Tri Energy, Inc. fraud2009$37,048,466
M.A.G. Capital LLC investor protection violation2009$100,000
Lazard Capital Markets LLC investor protection violation2008$2,847,008
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008$250,000
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008$510,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008$41,774,923
Quogue Capital LLC investor protection violation2008$390,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008$6,417,122
FacePrint Global Solutions, Inc. investor protection violation2008$1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008$39,900,000
AirTrac Inc. investor protection violation2008$2,005,401
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008$101,711
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008$9,983,586
Lazare Industries, Inc. investor protection violation2008$1,975,911
Armstrong Capital Ltd. and Bay Capital Investment Ltd. investor protection violation2007$1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC investor protection violation2007$1,045,060
Microphase Corp. investor protection violation2007$700,000
Nortel Networks Corporation accounting fraud or deficiencies2007$35,000,000
Sandell Asset Management Corp. investor protection violation2007$8,097,494
Regional Brokers, Inc. investor protection violation2007$100,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007$490,902
Sure Trace Security Corporation investor protection violation2007$1,098,900
Commonwealth Equity Services, LLP investor protection violation2007$250,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007$250,000
Platforms Wireless International Corp. investor protection violation2007$2,431,213
GLG Partners, L.P. investor protection violation2007$3,203,639
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007$3,925,000
Mercury Interactive, LLC accounting fraud or deficiencies2007$28,000,000
Blue Bottle Limited investor protection violation2007$10,846,785
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
Crestview Capital Partners investor protection violation2007$394,640
GetAnswers, Inc. investor protection violation2007$15,713,676
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
1st Global Capital Corp. investor protection violation2006$100,000
Focus Financial Associates, Inc. and Focus Development Center, Inc. fraud2006$6,272,264
U.S. Wind Farming, Inc. investor protection violation2006$38,487
U.S. Gas & Electric, Inc. investor protection violation2006$167,000
Graycort Financial, LLC investor protection violation2006$100,000
BISYS Fund Services, Inc. investor protection violation2006$21,400,000
Doral Financial Corporation accounting fraud or deficiencies2006$25,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006$10,000,000
Endocare, Inc. accounting fraud or deficiencies2006$750,000
Lehman Brothers Inc. investor protection violation2006$1,500,000
Unified Fund Services, Inc. investor protection violation2006$125,000
Bio-Heal Laboratories, Inc. investor protection violation2006$618,135
Deephaven Capital Management, LLC insider trading2006$5,709,958
National Clearing Corporation investor protection violation2006$2,000,000
Langley Partners, North Olmsted Partners and Quantico Partners investor protection violation2006$13,517,928
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.