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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
Vertical Capital Asset Management, LLC investor protection violation2017$9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017$4,400,000
Institutional Investors Advisory Company investor protection violation2017$843,187
Capital Dynamics, Inc. investor protection violation2017$275,000
Coachman Energy Partners LLC investor protection violation2017$941,507
Cadaret and Grant & Co., Inc. investor protection violation2017$3,048,000
Columbia River Advisors, LLC investor protection violation2017$80,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$200,000
Bradway Financial, LLC and Bradway Capital Management, LLC investor protection violation2017$150,000
Umbrella Research, LLC investor protection violation2017$16,676
Paramount Group Real Estate Advisor LLC investor protection violation2017$250,000
Landwin Management, LLC investor protection violation2017$75,000
Bantry Bay Capital, LLC investor protection violation2017$100,000
Resilience Management, LLC investor protection violation2017$250,000
Wm Smith & Co. investor protection violation2017$50,000
Bonwick Capital Partners, LLC investor protection violation2017$50,000
New York REIT, Inc. and New York Recovery Advisors, LLC investor protection violation2017$165,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$10,000
Tellone Management Group, Inc. investor protection violation2017$75,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017$22,614,534
William Blair & Company, L.L.C. investor protection violation2017$4,500,000
Lebenthal & Co., LLC investor protection violation2017$150,000
Wilson-Davis & Company, Inc. investor protection violation2017$310,713
Lion Biotechnologies, Inc. investor protection violation2017$100,000
Lawson Financial Corporation investor protection violation2017$396,652
Cygs, LLC investor protection violation2017$60,879
Covenant Financial Services, LLC investor protection violation2017$144,845
Louis Capital Markets, LP investor protection violation2017$2,500,000
MKJJ Consulting LLC investor protection violation2017$2,973,916
Angel Oak Capital Partners, LLC investor protection violation2017$3,666,370
Lone Star Value Management and Heartland Advisors investor protection violation2017$300,000
Jaypee International, Inc. investor protection violation2017$25,000
Jeffrey Slocum & Associates, Inc. investor protection violation2017$300,000
Olde Monmouth Stock Transfer Co., Inc. investor protection violation2017$126,183
Palestra Capital Management LLC investor protection violation2017$180,968
Mer Telemanagement Solutions Ltd. investor protection violation2017$50,000
Centre Partners Management, LLC investor protection violation2017$50,000
Essex Financial Services, Inc. investor protection violation2017$183,181
Berman & Company, P.A. investor protection violation2017$25,000
Empire Stock Transfer, Inc. investor protection violation2016$154,239
M2 Law Professional Corp. investor protection violation2016$154,267
TPG Advisors LLC investor protection violation2016$328,437
New Silk Route Advisors, L.P. investor protection violation2016$275,000
Grassi & Co., CPAs and P.C. investor protection violation2016$401,510
PMB Helin Donovan, LLP investor protection violation2016$160,000
OTC Global Partners, LLC investor protection violation2016$87,499
Henning-Carey Proprietary Trading, LLC investor protection violation2016$110,000
Hope Capital, Inc. investor protection violation2016$579,747
Dupree Financial Group, LLC investor protection violation2016$25,000
Elray Resources, Inc. investor protection violation2016$50,000
Moloney Securities Co., Inc. investor protection violation2016$41,500
Altair Nanotechnologies, Inc. investor protection violation2016$250,000
Bluefire Renewables, Inc. investor protection violation2016$25,000
Connexus Corporation investor protection violation2016$50,000
Aviva Investors Americas, LLC investor protection violation2016$250,000
Wilmington Savings Fund Society, FSB investor protection violation2016$375,000
3C Advisors & Associates, Inc. investor protection violation2016$7,500
First Reserve Management, L.P. investor protection violation2016$3,500,000
Orinda Asset Management, LLC investor protection violation2016$75,000
AssetMark, Inc. investor protection violation2016$500,000
Congress Wealth Management LLC investor protection violation2016$100,000
Constellation Wealth Advisors LLC investor protection violation2016$100,000
Risk Paradigm Group, LLC investor protection violation2016$100,000
Executive Monetary Management, LLC investor protection violation2016$100,000
W.L. Lyons, LLC investor protection violation2016$200,000
HT Partners LLC investor protection violation2016$100,000
Banyan Partners, LLC investor protection violation2016$200,000
Prospera Financial Services, Inc. investor protection violation2016$100,000
Schneider Downs Wealth Management Advisors, LP investor protection violation2016$100,000
Shamrock Asset Management LLC investor protection violation2016$200,000
Delaney Equity Group LLC investor protection violation2016$20,000
Fortius Financial Advisors, LLC investor protection violation2016$94,070
Concert Global Group Limited and Concert Wealth Management, Inc. investor protection violation2016$120,000
Washington Wealth Management, LLC investor protection violation2016$50,000
Advantage Investment Management, LLC investor protection violation2016$60,000
Riverfront Investment Group, LLC investor protection violation2016$300,000
Secondmarket, Inc. investor protection violation2016$53,755
WFG Advisors, L.P. investor protection violation2016$100,000
Ross, Sinclaire & Associates, LLC investor protection violation2016$903,574
Simpson Hughes Financial, LLC investor protection violation2016$287,119
Feltl & Company, Inc. investor protection violation2016$183,128
Apex Fund Services (US), Inc. investor protection violation2016$171,836
2 West, Inc., et al. investor protection violation2016$2,025,179
School Business Consulting, Inc investor protection violation2016$30,000
Keygent LLC investor protection violation2016$100,000
American Life, Inc. investor protection violation2016$1,000,000
Blackstreet Capital Management, LLC investor protection violation2016$2,622,737
Federated Global Investment Management Corp. investor protection violation2016$1,500,000
Biscayne Capital International, LLC investor protection violation2016$158,087
American Registrar & Transfer Company investor protection violation2016$25,649
MaloneBailey, LL investor protection violation2016$100,000
Santos, Postal & Company, P.C. investor protection violation2016$29,076
Innovative Business Solutions, LLC investor protection violation2016$357,986
Craig Scott Capital, LLC investor protection violation2016$100,000
Thakkar CPA, PLLC investor protection violation2016$359,487
Cambridge Investment Research Advisors, Inc. investor protection violation2016$225,000
Canaccord Genuity Inc. investor protection violation2016$550,198
Central States Capital Markets, LLC investor protection violation2016$374,827
First Southwest Company, LLC investor protection violation2016$222,400
Marco Investment Management, LLC investor protection violation2016$232,345
Cantella & Co. investor protection violation2016$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.