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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
Tel-Instrument Electronics Corp. investor protection violation2014$75,000
Del Mar Asset Management, LP investor protection violation2014$66,000
Lazarus Management Company LLC investor protection violation2014$60,000
P.A.W. Capital Partners, L.P. investor protection violation2014$68,000
RIMA Senvest Management, LLC investor protection violation2014$68,000
Sankaty Advisors, LLC investor protection violation2014$68,000
Trinad Management, LLC investor protection violation2014$95,000
Ridgeback Capital Management LP investor protection violation2014$104,500
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. investor protection violation2014$300,000
Monness, Crespi, Hardt & Co., Inc. investor protection violation2014$150,000
The Phoenix Companies, Inc. investor protection violation2014$100,000
PHL Variable Insurance Company investor protection violation2014$100,000
Dominick & Dominick LLC investor protection violation2014$75,000
Lakeside Capital Management, LLC investor protection violation2014$590,152
EFP Rotenberg, LLP accounting fraud or deficiencies2014$50,000
Paradigm Capital Management, Inc. investor protection violation2014$2,181,771
UASNM, Inc. investor protection violation2014$100,000
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. investor protection violation2014$1,583,942
Ironbird Capital LLC investor protection violation2014$335,435
HD Mile High Marketing, Inc. investor protection violation2014$250,076
Ruby Corporation investor protection violation2014$1,100,000
Lightspeed Trading LLC investor protection violation2014$478,216
The Phoenix Companies, Inc. investor protection violation2014$375,000
PHL Variable Insurance Company investor protection violation2014$375,000
BDL Manager LLC investor protection violation2014$3,297,740
Worldwide Capital, Inc. investor protection violation2014$7,253,726
Axius Holdings, LLC investor protection violation2014$60,881
Securities Compliance Group, Ltd. investor protection violation2018$27,655
Revolutionary Concepts, Inc. investor protection violation2018$25,000
SEI Investments Global Funds Services investor protection violation2018$225,000
Altaba Inc. investor protection violation2018$35,000,000
WCAS Management Corporation? investor protection violation2018$778,819
Arlington Capital Management, Inc. investor protection violation2018$125,000
Jim Poe and Associates, Inc. investor protection violation2013$35,000
West Coast Asset Management, Inc. investor protection violation2013$56,186
John Thomas Financial Inc. investor protection violation2013$500,000
Mazuma Corporation et al. investor protection violation2013$1,449,978
Agamas Capital Management, LP investor protection violation2013$250,000
Fry Hensley and Company investor protection violation2013$894,657
Ox Trading, LLC, et al. investor protection violation2013$50,000
Manarin Investment Counsel, Ltd., et al. investor protection violation2013$1,052,747
Commonwealth Income & Growth Fund, Inc. investor protection violation2013$367,656
Sarkauskas and Associates, Inc. investor protection violation2013$449,837
North East Capital, LLC investor protection violation2013$346,132
A.R. Schmeidler & Co., Inc. investor protection violation2013$1,011,564
Goelzer Investment Management, Inc.? investor protection violation2013$463,793
Comprehensive Capital Management, Inc. investor protection violation2013$120,000
Rosenberg Rich Baker Berman & Company investor protection violation2013$37,000
Noonan Capital Management, LLC investor protection violation2013$104,825
Northern Lights Compliance Services, LLC, et al. investor protection violation2013$50,000
HarborLight Capital Management, LLC? investor protection violation2013$270,615
Foxhall Capital Management, Inc investor protection violation2013$122,430
Banco Comercial Portugues, S.A. investor protection violation2013$1,892,058
Oxford Investment Partners, LLC investor protection violation2013$274,295
Ardsley Advisory Partners investor protection violation2013$815,071
IMC Asset Management, Inc. investor protection violation2013$30,000
Egan-Jones Ratings Company investor protection violation2013$30,000
MiddleCove Capital, LLC investor protection violation2013$788,118
New America High Income Fund, Inc. investor protection violation2012$413,399
New England Investment and Retirement Group, Inc. investor protection violation2012$200,000
Aladdin Capital Management LLC investor protection violation2012$1,618,831
Edelweiss Financial Services Limited investor protection violation2012$568,347
JM Financial Institutional Securities Private Limited investor protection violation2012$443,545
Motilal Oswal Securities Limited investor protection violation2012$821,594
Ambit Capital Pvt. Ltd. investor protection violation2012$30,910
EM Capital Management, LLC? investor protection violation2012$20,000
BTS Asset Management, Inc. investor protection violation2012$200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012$200,000
JCSD Capital, LLC investor protection violation2012$94,222
Prescient Capital Partners, Ltd. investor protection violation2012$29,968
Stock Markets Institute, Inc. investor protection violation2012$75,000
Western Pacific Capital Management, LLC investor protection violation2012$781,940
JP Turner & Company, LLC investor protection violation2012$416,051
Consultiva Internacional, Inc. investor protection violation2012$35,000
Wesley Capital Management, LLC investor protection violation2012$232,289
Delaware Asset Advisers investor protection violation2012$4,814,520
Centaur Management Co. LLC investor protection violation2012$364,322
Calhoun Asset Management, LLC investor protection violation2012$50,000
Harbinger Capital Partners, LLC investor protection violation2012$1,378,763
Sharespost, Inc. investor protection violation2012$80,000
EB Financial Group, LLC investor protection violation2012$310,499
Mercury Capital investor protection violation2012$45,747
1st Discount Brokerage, Inc. investor protection violation2012$40,000
Investment Placement Group investor protection violation2011$4,072,027
Touradji Capital Management, L.P. investor protection violation2011$1,303,336
Hanes Morgan & Co., Inc investor protection violation2011$100,000
Feltl & Company, Inc. investor protection violation2011$203,172
Asset Advisors, LLC investor protection violation2011$20,000
FTN Financial Securities Corp. investor protection violation2011$1,873,636
Pipeline Trading Systems LLC investor protection violation2011$1,000,000
Gilford Securities, Incorporated investor protection violation2011$612,113
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
Fontana Capital, LLC investor protection violation2011$984,790
Brookside Capital, LLC investor protection violation2011$2,124,079
Level Global Investors, L.P. investor protection violation2011$3,244,171
Pegasus Investment Management, LLC investor protection violation2011$95,469
Wunderlich Securities, Inc. investor protection violation2011$532,624
Legend Securities, Inc. investor protection violation2011$50,000
Aristeia Capital, LLC investor protection violation2011$1,762,776
JSK Associates, Inc. investor protection violation2011$60,000
Securities Transfer Corporation investor protection violation2011$10,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.