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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
FT Interactive Data investor protection violation2003$125,000
Research Capital, LLC investor protection violation2003$6,337
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003$31,555
Mid-Ohio Securities Corp. investor protection violation2003$25,000
Andover Brokerage, LLC investor protection violation2003$151,876
Ascend Capital, LLC investor protection violation2003$46,258
Jamison, Eaton & Wood, Inc. investor protection violation2003$100,000
Baron Capital, Inc. investor protection violation2003$2,000,000
Harvest Financial Corporation investor protection violation2003$25,000
Gemisys Corporation investor protection violation2002$15,000
Millenium Capital Advisors of Pennsylvania, Inc investor protection violation2002$50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002$175,000
Back Bay Advisors, L.P. investor protection violation2002$150,000
Renberg Capital Management, Inc. investor protection violation2002$40,000
Vanderbilt Capital Advisors LLC investor protection violation2002$125,000
Portfolio Advisory Services, LLC investor protection violation2002$50,000
Performance Analytics, Inc. investor protection violation2002$75,000
Lone Star Transfer, Inc. investor protection violation2002$10,000
ND Money Management, Inc. investor protection violation2002$10,000
RansonCapital Corporation investor protection violation2002$10,000
Roundhill Securities, Inc. investor protection violation2002$100,000
Stan D. Kiefer & Associates investor protection violation2002$10,000
Delta Equity Services Corporation investor protection violation2002$45,000
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002$40,000
BNB Capital, Inc. investor protection violation2002$5,000
Merrimac Advisors Company investor protection violation2002$50,000
Millennium Group of New York, LLC investor protection violation2001$7,602
Tiffany Capital Advisors, Inc. investor protection violation2001$40,000
Duff & Phelps Investment Management Co., Inc investor protection violation2001$854,161
W.J. Nolan & Co. investor protection violation2001$192,028
Oechsle International Advisors L.L.C. investor protection violation2001$200,000
Hawthorne Associates, Inc. investor protection violation2001$25,000
Sage Advisory Services LLC investor protection violation2001$288,328
JPR Capital Corp. investor protection violation2001$55,000
United Stock Transfer Inc. investor protection violation2001$10,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001$400,000
Joel R. Mogy Investment Counsel, Inc.? investor protection violation2001$12,500
Business & Financial Advisors, Inc. investor protection violation2001$128,817
Marion Bass Securities Corp. investor protection violation2000$150,000
Focus Tech Investments, Inc. investor protection violation2000$10,000
Adar International investor protection violation2000$10,000
Longman & Associates, Inc. investor protection violation2000$10,000
Kading Companies, S.A. and Joning Corp. investor protection violation2000$10,000
National Stock Transfer Inc. investor protection violation2000$5,000
CGI Capital, Inc. investor protection violation2000$25,000
D.E. Frey and Company, Inc. investor protection violation2000$100,000
Prospera Financial Services, Inc. investor protection violation2000$40,000
Signal Securities Inc. investor protection violation2000$50,000
First Colonial Securities Group, Inc. investor protection violation2000$25,000
F.W. Thompson Company Ltd. investor protection violation2000$100,000
Alpha Tech Stock Transfer Trust investor protection violation2000$10,000
Dawson-Samberg Capital Management, Inc. investor protection violation2000$100,000
Owen-Joseph Asset Management Corp.? investor protection violation2000$68,000
Founders Asset Management LLC investor protection violation2000$50,000
Gold Asset Management, Inc. investor protection violation2000$20,000
WWW Advisors, Inc. investor protection violation2000$5,000
Asset Timing Corp. investor protection violation2000$5,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000$25,000
Grupo Simec S.A.B de C.V. accounting fraud or deficiencies2019$200,000
Lifeway Foods Inc. accounting fraud or deficiencies2019$100,000
Digital Turbine Inc. accounting fraud or deficiencies2019$100,000
CytoDyn Inc. accounting fraud or deficiencies2019$35,000
Woodbridge Group of Companies LLC investor protection violation2019$892,000
American Portfolios Advisers Inc. investor protection violation2018$1,145,353
PPS Advisors Inc. investor protection violation2018$706,746
Crowe LLP accounting fraud or deficiencies2018$1,500,000
Wealthfront Advisers LLC investor protection violation2018$250,000
Hedgeable Inc. investor protection violation2018$80,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018$51,400,000
Agria Corporation accounting fraud or deficiencies2018$3,000,000
Citadel Securities LLC investor protection violation2018$3,500,000
Natixis Securities Americas LLC investor protection violation2018$1,250,000
Talimco, LLC investor protection violation2019$399,000
Stephens Inc. investor protection violation2019$5,489,119
Select Money Management, Inc. investor protection violation2019$61,558
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
M Holdings Securities, Inc. investor protection violation2019$1,022,048
D.A. Davidson & Co. investor protection violation2019$654,276
Trustcore Financial Services, LLC investor protection violation2019$422,261
Spire Wealth Mangement, LLC investor protection violation2019$594,072
Lockwood Advisors, Inc. investor protection violation2019$52,187
Kestra Private Wealth Services, LLC investor protection violation2019$549,003
Kestra Advisory Services, LLC investor protection violation2019$6,196,279
Hazlett and Burt & Watson, Inc. investor protection violation2019$123,456
Coastal Investment Advisors, Inc. investor protection violation2019$76,144
Syndicated Capital, Inc. investor protection violation2019$38,991
Silversage Advisors investor protection violation2019$342,062
Private Portfolio, Inc. investor protection violation2019$43,061
PlanMember Securities Corporation investor protection violation2019$3,550,660
Popular Securities, LLC investor protection violation2019$544,577
NBC Securities, Inc. investor protection violation2019$426,119
Kovack Advisors, Inc. investor protection violation2019$898,781
Calton & Associates, Inc. investor protection violation2019$305,044
Benchmark Capital Advisors LLC investor protection violation2019$45,182
Summit Financial Group, Inc. investor protection violation2019$1,032,702
Northeast Asset Management, LLC investor protection violation2019$150,982
EFG Asset Management (Americas) Corp. investor protection violation2019$62,505
Provise Management Group, LLC investor protection violation2019$297,423
MIAI, Inc. investor protection violation2019$488,579
First Kentucky Securities Corporation investor protection violation2019$132,651
Client One Securities, LLC investor protection violation2019$35,275
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.