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Violation Tracker Agency Summary Page
Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,270,793,406
Number of Records: 2,811
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 Companies | Total Penalty $ | Number of Records |
| JPMorgan Chase | $2,076,789,938 | 29 |
| Bank of America | $1,933,986,175 | 37 |
| UBS | $1,711,703,654 | 43 |
| Citigroup | $1,555,476,210 | 23 |
| Goldman Sachs | $966,302,860 | 22 |
| Wells Fargo | $959,489,356 | 27 |
| Morgan Stanley | $907,118,395 | 37 |
| American International Group | $895,900,000 | 4 |
| State Street Corp. | $831,780,000 | 5 |
| Allianz | $748,996,423 | 4 |
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.
| Company | Current Parent | Current Parent Industry  | Primary Offense Type | Year | Penalty Amount |
| Wayzata Investment Partners LLC | | | investor protection violation | 2024 | $60,000 |
| Hudson Valley Wealth Management Inc. | | | investor protection violation | 2024 | $200,000 |
| BF Borgers CPA PCÂ | | | accounting fraud or deficiencies | 2024 | $12,000,000 |
| Magna Group, LLC | | | investor protection violation | 2024 | $497,840 |
| Magna Equities II, LLC | | | investor protection violation | 2024 | $817,941 |
| MG Partners, Ltd | | | investor protection violation | 2024 | $817,941 |
| C-Bond Systems, Inc. | | | investor protection violation | 2024 | $175,000 |
| Gainvest Legal Corp | | | investor protection violation | 2024 | $15,000 |
| Eastone Equities, LLC | | | investor protection violation | 2024 | $125,000 |
| Catalyst Capital Advisors LLC | | | investor protection violation | 2024 | $327,226 |
| LM Global Investments LLC dba Fratarcangeli Wealth Management | | | investor protection violation | 2024 | $100,000 |
