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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
Client One Securities, LLC investor protection violation2019$35,275
National Asset Management, Inc. investor protection violation2019$733,423
Investment Research Corp investor protection violation2019$33,188
First National Capital Markets, Inc. investor protection violation2019$138,117
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019$458,082
L.M. Kohn & Company investor protection violation2019$586,882
Benjamin F. Edwards & Co., Inc. investor protection violation2019$3,445,264
The Huntington Investment Company investor protection violation2019$207,946
Robert W. Baird & Co. Incorporated investor protection violation2019$4,149,167
Questar Asset Management, Inc. investor protection violation2019$527,566
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2019$925,023
Hefren-Tilotson, Inc. investor protection violation2019$371,697
Financial Management Strategies, Inc. investor protection violation2019$185,083
Cambridge Investment Research Advisors, Inc. investor protection violation2019$6,187,562
Blyth & Associates, Inc. investor protection violation2019$103,071
Ryan Financial Advisors, Inc. investor protection violation2019$258,670
Park Avenue Securities LLC investor protection violation2019$564,267
Investmark Advisory Group LLC investor protection violation2019$103,107
Investacorp Advisory Services, Inc. investor protection violation2019$481,608
Infinex Investments, Inc. investor protection violation2019$978,698
Commonwealth Equity Services, LLC investor protection violation2019$1,637,303
Cantella & Co., Inc. investor protection violation2019$919,597
Beacon Investment Management LLC investor protection violation2019$165,848
SSN Advisory, Inc. investor protection violation2019$1,666,950
SA Stone Investment Advisors Inc. investor protection violation2019$687,374
First Citizens Investor Services, Inc. investor protection violation2019$402,665
First Citizens Asset Management, Inc. investor protection violation2019$62,418
DLL CPAS, LLC investor protection violation2019$51,387
Katz, Sapper & Miller, LLP investor protection violation2019$101,834
Centrais Eletricas Brasileiras S.A.? Foreign Corrupt Practices Act2018$2,500,000
Lightyear Capital LLC investor protection violation2018$400,000
BioElectronics, Corp. investor protection violation2018$191,640
Thoroughbred Financial Services, LLC investor protection violation2018$1,108,618
Sterling Global Strategies LLC investor protection violation2018$175,000
Ancora Advisors LLC investor protection violation2018$100,000
NB Alternatives Advisers LLC investor protection violation2018$2,733,608
Yucaipa Master Manager, LLC investor protection violation2018$2,934,312
Landaas & Company investor protection violation2018$598,941
Frontier Oilfield Services, Inc. investor protection violation2018$25,000
CoinAlpha Advisors LLC investor protection violation2018$50,000
Fifth Street Management, LLC investor protection violation2018$3,983,660
Spark Trading Group LLC investor protection violation2019$694,915
Pinnacle Accountancy Group, PLLC accounting fraud or deficiencies2019$300,000
Deer Park Road Management Company LP investor protection violation2019$5,000,000
Wilson-Davis & Co., Inc. investor protection violation2019$300,000
Corinthian Capital Group, LLC investor protection violation2019$100,000
GT Advanced Technologies Inc. investor protection violation2019$140,000
Charter Capital Management, LLC investor protection violation2019$40,000
ZBS Group LLP investor protection violation2019$48,461
Prosper Funding LLC accounting fraud or deficiencies2019$3,000,000
Clear Scope Advisors, Inc. investor protection violation2019$25,678
Mutual Coin Fund LLC investor protection violation2019$10,000
Vision Financial Markets LLC anti-money-laundering deficiencies2019$625,000
Sweetwater Investments, Inc. investor protection violation2019$1,164,747
Tiber Creek Corp. investor protection violation2019$209,797
Telefonica Brasil S.A. Foreign Corrupt Practices Act2019$4,124,000
Account Management LLC investor protection violation2019$100,000
AOC Securities LLC investor protection violation2019$250,000
AR Capital LLC investor protection violation2019$53,000,000
Bitqyck Inc. investor protection violation2019$8,375,617
Brixmor Property Group Inc. accounting fraud or deficiencies2019$7,000,000
Canaccord Genuity LLC investor protection violation2019$250,000
Conn's Inc. accounting fraud or deficiencies2019$1,100,000
Dale Scott & Company, Inc. investor protection violation2019$25,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019$19,390,352
EMS Capital LP investor protection violation2019$317,415
Equal Earth, Inc. investor protection violation2019$7,655,000
Fieldstone Financial Management Group LLC investor protection violation2019$1,322,971
Financial Sherpa, Inc. investor protection violation2019$436,861
Foundations Asset Management, LLC investor protection violation2019$363,947
Guaranteed Investigations, Inc. investor protection violation2019$16,846
ICO Rating investor protection violation2019$268,998
IFS Securities investor protection violation2019$50,000
Laurel Wealth Advisors, Inc. investor protection violation2019$100,000
Lefavi Wealth Management, Inc. investor protection violation2019$1,288,735
Mosaic Capital, LLC investor protection violation2019$250,000
MVP Manager LLC investor protection violation2019$249,739
RSM US LLP accounting fraud or deficiencies2019$950,000
School Services of California, Inc. investor protection violation2019$10,000
Spring Hill Capital Markets, LLC, et al. investor protection violation2019$485,803
The Options Clearing Corporation investor protection violation2019$15,000,000
The Parrish Group, LLC investor protection violation2019$184,767
TherapeuticsMD Inc. investor protection violation2019$200,000
Channing Capital Management, LLC investor protection violation2019$50,000
Portfolio Advisors Alliance investor protection violation2019$1,259,721
Golden California Regional Center, LLC investor protection violation2019$50,295,232
Capital Source Lending LLC investor protection violation2019$5,720,451
XBT Corp Sarl dba First Global Credit investor protection violation2019$131,952
Northwest Biotherapeutics, Inc. investor protection violation2019$250,000
Lek Securities Corp. investor protection violation2019$1,525,892
PlexCorps investor protection violation2019$4,911,613
Block.one investor protection violation2019$24,000,000
Bill Few Associates Inc. investor protection violation2019$2,398,304
Cargile Investment Management Inc. investor protection violation2019$70,140
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Equity Services Inc. investor protection violation2019$587,017
Essex Financial Services Inc. investor protection violation2019$645,000
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019$59,478
Henley & Company Wealth Management LLC investor protection violation2019$36,866
IC Advisory Services Inc. investor protection violation2019$1,195,186
Independent Financial Group LLC investor protection violation2019$1,426,150
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.