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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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CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Cool Technologies Inc. investor protection violation2018$75,000
Dasan Zhone Solutions Inc. investor protection violation2018$50,000
First Hartford Corporation investor protection violation2018$50,000
Infrax Systems Inc. investor protection violation2018$50,000
Crypto Asset Management LP investor protection violation2018$200,000
TokenLot LLC investor protection violation2018$478,929
NW Capital Markets Inc. investor protection violation2018$87,065
TelexElectric, LLLP investor protection violation2018$2,022,239
Telex Mobile Holdings, Inc. investor protection violation2018$500,870
FX & Beyond Corporation investor protection violation2018$1,392,656
Hope Advisors, LLC investor protection violation2018$1,487,235
WealthCFO, LLC investor protection violation2018$409,405
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Pennant Management, Inc. investor protection violation2018$400,000
Hudson Housing Capital LLC investor protection violation2018$65,000
Lichter, Yu and Associates, Inc., et al.? investor protection violation2018$64,900
Ophrys, LLC investor protection violation2018$500,000
Eric Hall & Associates, LLC investor protection violation2018$54,761
Creative Planning, Inc. investor protection violation2018$200,000
Abtech Holdings, Inc.? investor protection violation2018$133,414
Cushing Asset Management, LP investor protection violation2018$100,000
Capital Analysts, LLC investor protection violation2018$1,820,349
Holthouse Carlin & Van Trigt LLP? investor protection violation2018$300,000
Harbour Investments, Inc. investor protection violation2018$241,479
Crypto Asset Management, LP investor protection violation2018$200,000
VSS Fund Management LLC investor protection violation2018$200,000
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
MedCap Management & Research LLC investor protection violation2008$70,632
Victoire Finance Capital LLC investor protection violation2008$215,631
Sirios Capital Management, L.P.? investor protection violation2008$287,058
Moon Capital Management, LP? investor protection violation2008$139,071
Finance 500, Inc. investor protection violation2008$345,499
Pax World Management Corp. investor protection violation2008$500,000
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
First Southwest Company investor protection violation2008$150,000
Quogue Capital LLC investor protection violation2008$944,056
vFinance Investments, Inc. investor protection violation2008$26,559
First Montauk Securities Corp. investor protection violation2008$100,742
Heartland Advisors, Inc. investor protection violation2008$3,500,000
Chronos Asset Management, Inc. investor protection violation2008$2,176,915
Park Financial Group, Inc. investor protection violation2007$30,373
Founding Partners Capital Management Compan investor protection violation2007$182,244
Consulting Services Group, LLC investor protection violation2007$20,000
MCL Financial Group, Inc. investor protection violation2007$60,000
Intervoice investor protection violation2007$942,628
D.M. Keck & Company, Inc. investor protection violation2007$15,000
Financial Design Associates, Inc. investor protection violation2007$300,000
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007$244,921
Haidar Capital Management, LLC investor protection violation2007$4,580,000
GLG Partners, LP investor protection violation2007$2,703,635
Amaranth Advisors L.L.C. investor protection violation2007$716,819
Tier One, Inc. investor protection violation2007$85,500
Imperium Advisors, LLC investor protection violation2007$119,964
Temple Securities, Ltd. investor protection violation2007$268,346
Vertical Capital Partners, Inc. investor protection violation2007$490,432
Pacific Growth Equities, LLC investor protection violation2007$425,000
Kelmoore Investment Company, Inc. investor protection violation2007$100,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006$495,596
Kaplan & Co., Securities, Inc. investor protection violation2006$100,000
FCA Corp. investor protection violation2006$25,000
Wall Street Access investor protection violation2006$688,084
Cantella & Company, Inc. investor protection violation2006$50,000
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Delaware Service Company, Inc. investor protection violation2006$435,000
Senior Resources Asset Fund, LLC investor protection violation2006$3,699,203
Herzog, Heine, Geduld, LLC investor protection violation2006$1,500,000
IFMG Securities, Inc. investor protection violation2006$1,000,000
Weiss Research, Inc investor protection violation2006$1,991,141
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Computershare Trust Company of Canada investor protection violation2006$1,101,868
INET ATS, Inc. investor protection violation2006$350,000
Schultz Investment Advisors, Inc. investor protection violation2005$114,534
Renn Capital Group, Inc. investor protection violation2005$2,961,362
Blue River Capital LLC investor protection violation2005$150,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$700,000
International Equity Advisors, LLC investor protection violation2005$3,190,000
Applied Financial Group Inc. investor protection violation2005$50,000
Springer Investment Management, Inc.? investor protection violation2005$50,000
CMS Fund Advisers, Inc. investor protection violation2005$115,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005$40,000
Marketxt, Inc. investor protection violation2005$49,965
vFinance Investments, Inc. investor protection violation2005$50,000
Capital Analysts Incorporated investor protection violation2005$450,000
Colley Asset Management, Inc. investor protection violation2005$100,000
Brean Murray & Co., Inc. investor protection violation2005$150,000
Groh Asset Management, Inc. investor protection violation2004$45,000
Kiely Financial Services, Inc. investor protection violation2004$154,256
Rudney Associates, Inc. investor protection violation2004$62,330
Taglich Brothers, Inc. investor protection violation2004$50,000
JC Management, Inc. investor protection violation2004$27,991
Connecticut Capital Markets, L.L.C. investor protection violation2004$259,110
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004$375,000
Fidelity National Capital Investors, Inc. investor protection violation2004$125,000
Freedom Financial, Inc. investor protection violation2004$25,000
David Lerner Associates, Inc. investor protection violation2004$50,000
Nevis Capital Management, LLC investor protection violation2004$1,700,000
Hard Asset Management, Inc. investor protection violation2004$62,439
Celebrity Resorts and Casinos, Inc. investor protection violation2004$347,250
Research Investment Group, Inc. investor protection violation2004$24,721
FT Interactive Data investor protection violation2003$125,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.