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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
Cantella & Co. investor protection violation2016$100,000
IBC Funds, LLC investor protection violation2016$2,482,850
United Bankers' Bank investor protection violation2016$160,000
Roosevelt & Cross, Incorporated investor protection violation2016$250,000
Municipal Capital Markets Group, Inc. investor protection violation2016$60,000
D.A. Davidson & Co. investor protection violation2016$500,000
Boenning & Scattergood, Inc. investor protection violation2016$250,000
First Midstate Incorporated investor protection violation2016$100,000
ARRG Corp. investor protection violation2016$410,753
Equinox Fund Management, LLC investor protection violation2016$400,000
Everhart Financial Group, Inc. investor protection violation2016$305,407
Canarsie Capital, LLC investor protection violation2015$3,494,938
DKM Certified Public Accountants, Inc. investor protection violation2015$60,043
Messineo & Co., CPAs, LLC investor protection violation2015$25,000
Bander Law Firm, PLLC investor protection violation2015$273,184
Azarmehr Law Group investor protection violation2015$57,965
Alpha Fiduciary, Inc. investor protection violation2015$250,000
Cranshire Capital Advisors, LLC investor protection violation2015$250,000
JH Partners, LLC investor protection violation2015$225,000
Virtus Investment Advisers, Inc. investor protection violation2015$16,500,000
Metis Wealth Advisors, LLC investor protection violation2015$71,489
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC investor protection violation2015$100,000
Retirement Investment Advisors, Inc. and Research Holdings, LLC investor protection violation2015$219,243
Welhouse & Associates, Inc. investor protection violation2015$769,059
Latour Trading LLC investor protection violation2015$8,053,439
Duncan-Williams, Inc investor protection violation2015$250,000
Crews & Associates, Inc. investor protection violation2015$250,000
Country Club Bank investor protection violation2015$140,000
Commerce Bank Capital Markets Group investor protection violation2015$40,000
NW Capital Markets Inc. investor protection violation2015$100,000
Northland Securities, Inc. investor protection violation2015$220,000
Mesirow Financial, Inc. investor protection violation2015$100,000
Joe Jolly & Co., Inc. investor protection violation2015$100,000
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2015$420,000
The Frazer Lanier Company, Incorporated investor protection violation2015$100,000
Estrada Hinojosa & Company, Inc. investor protection violation2015$40,000
Ross, Sinclaire & Associates, LLC investor protection violation2015$220,000
Prager & Co., LLC investor protection violation2015$100,000
Hyperdynamics Corporation investor protection violation2015$75,000
G Asset Management, LLC investor protection violation2015$175,000
R.T. Jones Capital Equities Management, Inc. investor protection violation2015$75,000
Ditto Holdings, Inc. investor protection violation2015$50,000
Mackensen & Company, Inc. investor protection violation2015$100,000
Success Trade, Inc. and Success Trade Securities, Inc. investor protection violation2015$26,158,214
Signator Investors, Inc. investor protection violation2015$450,000
Acadia Asset Management, LLC investor protection violation2015$354,115
Tri-Star Advisors, Inc. investor protection violation2015$150,000
Parallax Investments, LLC investor protection violation2015$200,000
Gold Mountain Management, LLC investor protection violation2015$200,000
Montgomery Street Research, LLC investor protection violation2015$342,718
Dion Money Management, LLC investor protection violation2015$50,000
Wisteria Global, Inc. investor protection violation2015$1,138,935
Cotterman-Wilson CPAs, Inc investor protection violation2015$36,897
Pekin Singer Strauss Asset Management Inc investor protection violation2015$150,000
Commonwealth Capital Management, LLC, et al. investor protection violation2015$50,000
SFX Financial Advisory Management Enterprises, Inc. investor protection violation2015$150,000
Trust & Investment Advisors, Inc. investor protection violation2015$50,000
Alpha Titans LLC investor protection violation2015$698,450
Houston American Energy Corp. investor protection violation2015$400,000
StateTrust Investments, Inc. investor protection violation2015$90,000
Kornitzer Capital Management, Inc. investor protection violation2015$50,000
Global Fixed Income, LLC, et al. investor protection violation2015$3,385,989
Keypoint Capital Management, LLC investor protection violation2015$77,250
Coral Reef Media, LLC investor protection violation2015$52,395
Stilwell Value LLC investor protection violation2015$250,000
SMP Investments I, LLC investor protection violation2015$63,750
Water Island Capital LLC investor protection violation2015$50,000
Child, Van Wagoner & Bradshaw, PLLC investor protection violation2015$130,506
New Line Capital, LLC investor protection violation2015$25,000
Wyoming Investment Management Services, LLC investor protection violation2015$10,000
International Capital Group, LLC investor protection violation2015$3,170,054
First National Community Bancorp Inc investor protection violation2015$175,000
Consulting Services Group, LLC investor protection violation2015$150,000
Shelton Financial Group, Inc. investor protection violation2015$190,066
EDGA Exchange, Inc. and EDGX Exchange, Inc. investor protection violation2015$14,000,000
BDO Canada accounting fraud or deficiencies2018$50,000
Edwin Shaw LLC investor protection violation2018$544,744
Weinberg & Baer LLC accounting fraud or deficiencies2018$62,899
Dedicated Sound and Audio, Inc. investor protection violation2018$250,000
Choice Equity investor protection violation2018$2,430,850
Southridge Capital Management LLC and Southridge Advisors LLC investor protection violation2018$7,864,064
Elbit Imaging Ltd. accounting fraud or deficiencies2018$500,000
Li & Co. accounting fraud or deficiencies2018$70,143
Capital Cove Bancorp LLC investor protection violation2018$1,829,868
Geneos Wealth Management Inc. investor protection violation2018$1,808,121
CSIR Group, LLC investor protection violation2018$17,142
Verto Capital Management LLC investor protection violation2018$620,594
Aegis Capital Corporation anti-money-laundering deficiencies2018$750,000
JH Darbie & Co. accounting fraud or deficiencies2018$50,113
Electronic Transaction Clearing Inc. investor protection violation2018$80,000
Lally & Co., LLC accounting fraud or deficiencies2014$10,000
Joseph Yafeh CPA, Inc. accounting fraud or deficiencies2014$20,000
Eureeca Capital SPC investor protection violation2014$25,000
Clean Energy Capital, LLC investor protection violation2014$2,246,030
Rothman Securities, Inc. investor protection violation2014$90,000
Highland Capital Management, L.P. investor protection violation2014$225,000
Colorado Financial Service Corporation investor protection violation2014$25,000
Westend Capital Management, LLC investor protection violation2014$150,000
Security Capital Research & Management Incorporated investor protection violation2014$88,000
Willis Lease Finance Corporation investor protection violation2014$150,000
Tel-Instrument Electronics Corp. investor protection violation2014$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.