Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
John A. Bysko Associates investor protection violation2021$25,000
Madden Funds Management Ltd. investor protection violation2021$25,000
Medallion Wealth Advisors LLC investor protection violation2021$25,000
Mighty Oak Strong America Investment Company investor protection violation2021$25,000
Minot DeBlois Advisors LLC investor protection violation2021$97,523
O'Brien Greene & Co. Inc. investor protection violation2021$25,000
Paratus Financial Inc. investor protection violation2021$97,523
Quantitative Asset Management LLC investor protection violation2021$25,000
Sauberan & Company LLC investor protection violation2021$10,000
Summit Financial Advisors Inc. investor protection violation2021$25,000
The Cavanaugh Group Inc. investor protection violation2021$50,000
Westbourne Investments Inc. investor protection violation2021$25,000
Bill Parker Agency investor protection violation2021$10,000
Birkelbach & Co. investor protection violation2021$10,000
Capital Portfolio Management Inc. investor protection violation2021$25,000
Greentree Investment Services Inc. investor protection violation2021$10,000
ST Invest LLC d/b/a Trade App investor protection violation2021$10,000
Tradier Brokerage Inc. investor protection violation2021$50,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021$200,000
First Capital Real Estate Investments, LLC investor protection violation2021$3,876,400
Cascade Investment Group, Inc investor protection violation2021$125,000
Blotics Ltd investor protection violation2021$201,687
Momentus Inc. investor protection violation2021$7,000,000
Stable Road Acquisition Company investor protection violation2021$1,000,000
Kestra Private Wealth Services, LLC investor protection violation2021$299,569
Kestra Advisory Services, LLC investor protection violation2021$10,003,172
PLS, CPA investor protection violation2021$73,028
St. Germain Investment Management, Inc. investor protection violation2021$1,925,250
Parallax Health Sciences Inc. investor protection violation2021$100,000
Westport Capital Markets, LLC investor protection violation2021$1,320,761
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021$83,582
Neovest Inc. investor protection violation2021$2,750,000
Crown Capital Securities, L.P. investor protection violation2021$1,587,912
Gateway One Lending & Finance, LLC investor protection violation2021$6,513,192
Guggenheim Securities, LLC investor protection violation2021$208,912
Loci Inc. investor protection violation2021$7,600,000
Intervest International, Inc. investor protection violation2021$205,277
Feltl Advisors, LLC investor protection violation2021$333,971
Verus Capital Partners, LLC investor protection violation2021$45,000
Newman Ladd Capital Advisors, LLC investor protection violation2021$25,000
American Renal Associates Holdings, Inc. investor protection violation2021$2,000,000
Andiamo Corporation investor protection violation2021$150,000
Sperry and Sons Capital Investments, LLC investor protection violation2021$284,480
Upright Financial Corp. investor protection violation2021$517,209
MIO Partners Inc. investor protection violation2021$18,000,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021$1,250,000
Fixed Income Clearing Corporation investor protection violation2021$8,000,000
Lexion Capital Management LP investor protection violation2021$10,000
Akazoo S.A. investor protection violation2021$38,800,000
Disciplined Capital Management LLC investor protection violation2021$25,000
VTB Capital plc investor protection violation2021$6,429,883
Redwood Wealth Management, LLC investor protection violation2021$50,000
Tradition Securities and Derivatives, LLC investor protection violation2021$1,787,459
Cowen Prime Advisors LLC investor protection violation2021$768,879
Resolute Capital Partners LTD LLC and Homebound Resources LLC investor protection violation2021$450,000
Revere Securities, LLC investor protection violation2021$50,000
Coda Markets, Inc. investor protection violation2021$1,200,000
KT Corporation Foreign Corrupt Practices Act2022$6,300,000
Arthur Zaske & Associates, LLC investor protection violation2022$15,000
Banyan Securities, LLC investor protection violation2022$10,000
Church, Gregory, Adams Securities Corporation investor protection violation2022$10,000
Gutt Financial Management, LLC investor protection violation2022$25,000
Hinsdale Associates, Inc. investor protection violation2022$25,000
J.K. Financial Services, Inc. investor protection violation2022$10,000
N.V.N.G. Investments, Inc. investor protection violation2022$15,000
Personal Financial Planning, Inc. investor protection violation2022$25,000
Stone Run Capital, LLC investor protection violation2022$25,000
The Winning Edge Financial Group, Inc. investor protection violation2022$10,000
Wall Street Access investor protection violation2022$97,523
Watermark Securities, Inc. investor protection violation2022$25,000
BlockFi Lending LLC investor protection violation2022$50,000,000
Wahed Invest, LLC investor protection violation2022$300,000
CMG Capital Management Group, Inc. investor protection violation2022$70,000
Comprehensive Capital Management, Inc. investor protection violation2022$375,654
O.N. Investment Management Company investor protection violation2022$1,238,653
tZERO ATS, LLC investor protection violation2022$800,000
Leaf Group Ltd. investor protection violation2022$325,000
OneStep Financial Services, LLC investor protection violation2022$631,179
PeachCap Tax & Advisory, LLC investor protection violation2021$138,813
1st Global Advisors, Inc. investor protection violation2021$16,873,153
Global Infrastructure Management, LLC investor protection violation2021$4,500,000
Weiss Asset Management LP investor protection violation2022$6,899,004
Petroteq Energy, Inc. investor protection violation2022$1,000,000
CohnReznick LLP accounting fraud or deficiencies2022$1,900,000
United Health Products, Inc. accounting fraud or deficiencies2022$450,000
Trust Advisory Group, Ltd. investor protection violation2022$214,460
Kahn Brothers Advisors, LLC investor protection violation2022$847,899
Adirondack Financial Services Corp. investor protection violation2022$25,000
Alphacentric Advisors LLC investor protection violation2022$300,000
Garrison Point Capital, LLC investor protection violation2022$3,500,000
SCWorx Corp. investor protection violation2022$125,000
Madison Avenue Securities, LLC investor protection violation2022$803,173
RiverSource Distributors Inc. investor protection violation2022$5,000,000
RiverSource Distributors, Inc. investor protection violation2022$5,000,000
TradeZero America Inc. investor protection violation2022$100,000
TradeZero America, Inc. investor protection violation2022$100,000
Virtua Capital Management, LLC investor protection violation2022$1,864,089
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2022$1,024,484
Perini Capital, LLC investor protection violation2022$115,000
BTIG, LLC investor protection violation2022$690,000
True Link Financial Advisors, LLC investor protection violation2022$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.