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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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
Yes Entertainment, LLC investor protection violation2000$14,546,808
Golf Emporium Corporation fraud2000$8,622,014
First Paragon, Inc. investor protection violation2000$1,040,000
EquityAlert.com, Inc. investor protection violation2000$20,000
Commonwealth Communications Group and Marjet Corp. fraud2000$1,407,284
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000$20,590,000
JW Charles Financial Services, Inc. investor protection violation2000$20,000
California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu fraud2000$2,876,405
Millennium Software Solutions, Inc. investor protection violation2000$760,450
New Concepts, L.L.C. investor protection violation2000$20,000
Liberty Capital Group, Inc. investor protection violation2000$35,000
Assured International, Inc. and Sharp Financial Corp. investor protection violation2000$1,407,217
Lehman Brothers Inc. investor protection violation2000$4,950,000
William R. Hough & Co. investor protection violation2000$3,264,000
Prime Atlantic, Inc. investor protection violation2000$12,682,820
DynamicDaytrader.com investor protection violation2000$55,107
Secured Income Reserve, Inc. fraud2016$1,318,476
Robert W. Baird & Co. investor protection violation2016$250,000
Portugal Telecom SGPS S.A. accounting fraud or deficiencies2016$125,000
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016$1,000,000
Aegis Oil, LLC fraud2016$41,319,067
Forcerank LLC investor protection violation2016$50,000
Artis Capital Management investor protection violation2016$8,878,015
Lime Energy Co. accounting fraud or deficiencies2016$1,000,000
Southlake Resources Group, LLC fraud2016$5,681,411
Powersecure International, Inc. accounting fraud or deficiencies2016$470,000
EZTD Inc. investor protection violation2016$1,700,000
Pacific Investment Management Company (PIMCO) investor protection violation2016$19,829,807
Equidate Inc. investor protection violation2016$80,000
Adams Capital Management investor protection violation2017$45,000
Aisling Capital investor protection violation2017$70,456
Alta Communications investor protection violation2017$35,000
Commonwealth Venture Management Corporation investor protection violation2017$75,000
Cypress Advisors investor protection violation2017$35,000
FFL Partners investor protection violation2017$75,000
Lime Rock Management investor protection violation2017$75,000
NGN Capital investor protection violation2017$100,000
Pershing Square Capital Management investor protection violation2017$75,000
The Banc Funds Company investor protection violation2017$75,000
Citadel Securities LLC investor protection violation2017$22,600,000
Sociedad Quimica y Minera de Chile S.A. Foreign Corrupt Practices Act2017$15,000,000
ITG investor protection violation2017$24,400,000
Port Authority of New York and New Jersey investor protection violation2017$400,000
Interinvest Corporation investor protection violation2016$6,900,000
MDC Partners accounting fraud or deficiencies2017$1,500,000
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017$150,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017$15,500,000
Sidoti & Company LLC investor protection violation2017$100,000
Oxford City Football Club, Inc. investor protection violation2017$6,853,358
Hold Brothers Online Investment Services, LLC investor protection violation2017$707,764
TeamVinh.com LLC investor protection violation2017$2,681,072
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017$3,000,000
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017$193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation investor protection violation2017$50,000
Verto Capital Management investor protection violation2017$4,158,517
Enviso Capital LLC investor protection violation2017$50,000
Ascenergy LLC investor protection violation2017$6,859,690
7S Oil & Gas, LLC investor protection violation2017$750,000
Petroforce Energy, LLC investor protection violation2017$300,000
Green Tree Investment Group investor protection violation2017$770,356
Millennium Management LLC investor protection violation2017$630,000
Augustine Capital Management LLC investor protection violation2017$878,305
JustInfo LLC fraud2017$1,293,675
Paritz & Company accounting fraud or deficiencies2017$132,049
Deerfield Management Company L.P. investor protection violation2017$4,600,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017$100,937
Penn West Petroleum Ltd. accounting fraud or deficiencies2017$8,500,000
Capital Financial Partners, LLC et al. investor protection violation2017$15,700,000
Credit Karma, Inc. investor protection violation2018$160,000
Valor Capital Asset Management, LLC investor protection violation2018$715,871
Financial Fiduciaries, LLC investor protection violation2018$40,000
Equitystar Capital Management, LLC investor protection violation2018$2,890,518
Dynamic Intelligence, Inc. investor protection violation2018$228,552
Americafirst Capital Management, LLC investor protection violation2018$50,000
Gemini Fund Services, LLC investor protection violation2018$400,000
LKL Investment Counsel LLC investor protection violation2018$100,000
Train, Babcock Advisors LLC investor protection violation2017$1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management investor protection violation2017$50,000
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017$536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017$80,000
Horter Investment Management, LLC investor protection violation2017$778,804
Institutional Investor Advisers, Inc. investor protection violation2017$200,000
Brahman Capital Corp. investor protection violation2017$250,000
Gray Financial Group, Inc. investor protection violation2017$401,298
Millennium Management LLC investor protection violation2017$638,709
Canterbury Consulting, Inc. investor protection violation2017$172,986
Loop Capital Markets, LLC investor protection violation2017$25,000
Success Holding Group International, Inc. investor protection violation2017$139,737
SIX Financial Information USA Inc. investor protection violation2017$107,707
LBMZ Securities, Inc. investor protection violation2017$240,000
VisionPoint Advisory Group, LLC investor protection violation2017$45,000
360 Financial, Inc. investor protection violation2017$40,000
TRH Financial LLC investor protection violation2017$35,000
Sagent Wealth Management, LLC investor protection violation2017$181,110
Howarth Financial Services, LLC investor protection violation2017$203,444
JL Capital Management investor protection violation2017$278,289
Potomac Asset Management Company, Inc investor protection violation2017$300,000
Envoy Advisory, Inc. investor protection violation2017$51,892
Municipal Finance Services, Inc. investor protection violation2017$50,000
O'Connor & Company Securities, Inc. investor protection violation2017$150,000
Vertical Capital Asset Management, LLC investor protection violation2017$9,034,957
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.