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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
Securities Transfer Corporation investor protection violation2011$10,000
Envision Capital Management, Ltd. investor protection violation2011$100,000
Alpine Woods Capital Investors, LLC investor protection violation2011$650,000
Horseman Capital Management, L.P.? investor protection violation2011$1,484,952
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010$850,000
Gartmore Investment Limited investor protection violation2010$1,347,251
New Castle Funds LLC investor protection violation2010$293,064
The Buckingham Research Group, Inc. and Buckingham Capital Management investor protection violation2010$125,000
Sands Brothers Asset Management LLC investor protection violation2010$60,000
Ark Asset Management Co., Inc. investor protection violation2010$750,000
Valentine Capital Asset Management, Inc.? investor protection violation2010$432,007
Carlson Capital, L.P. investor protection violation2010$2,653,234
Sierra Financial Advisors, LLC investor protection violation2010$14,599
LACE Financial Corp. investor protection violation2010$20,000
Pinnacle Capital Markets LLC investor protection violation2010$25,000
Spencer International Advisors, Inc. investor protection violation2010$75,000
Appaloosa Management L.P. investor protection violation2010$1,304,523
Haberman Value Fund, L.P. investor protection violation2010$263,443
GPS Partners, LLC investor protection violation2010$1,284,171
Prime Capital Services, Inc. investor protection violation2010$144,262
Warrior Fund LLC investor protection violation2010$221,384
Axiom Capital Management, Inc. investor protection violation2010$60,000
First Western Advisors investor protection violation2018$202,767
Intertech Solutions, Inc. investor protection violation2018$7,400,000
NW Capital Markets Inc. investor protection violation2018$87,065
BGC Financial accounting fraud or deficiencies2018$1,250,000
Alexander Capital L.P. investor protection violation2018$410,987
deVere USA, Inc. investor protection violation2018$8,000,000
Bachrach Asset Management Inc. investor protection violation2018$75,000
Brahma Management Ltd. investor protection violation2018$75,000
Bristol Group Inc. investor protection violation2018$75,000
CAI Managers & Co. L.P. investor protection violation2018$75,000
Cherokee Investment Partners LLC investor protection violation2018$75,000
Ecosystem Investment Partners LLC investor protection violation2018$75,000
Elm Partners Management LLC investor protection violation2018$75,000
HEP Management Corp. investor protection violation2018$75,000
Prescott General Partners LLC investor protection violation2018$75,000
RLJ Equity Partners LLC investor protection violation2018$75,000
Rose Park Advisors LLC investor protection violation2018$75,000
Veteri Place Corp. investor protection violation2018$75,000
Chardan Capital Markets LLC anti-money-laundering deficiencies2018$1,000,000
Barcelona Strategies LLC investor protection violation2018$542,120
Visium Asset Management LP investor protection violation2018$10,120,711
Moon River Studios, Inc. investor protection violation2018$1,824,368
Guardians Trustee, LLC investor protection violation2018$179,253
Malachi Financial Products, Inc. investor protection violation2018$85,858
Texas Coastal Energy Company investor protection violation2018$7,200,000
Aria Partners GP, LLC investor protection violation2018$150,000
Biltmore Wealth Management, LLC investor protection violation2018$183,043
BKS Advisors LLC investor protection violation2018$75,000
Lockwood Advisors, Incorporated investor protection violation2018$200,000
Hamlin Capital Management, LLC? investor protection violation2018$900,000
Knowledge Leaders Capital, LLC investor protection violation2018$50,000
Sycamore Lane Partners LLC investor protection violation2018$134,042
Beverly Hills Wealth Management, LLC investor protection violation2018$100,000
New Silk Route Advisors, L.P. investor protection violation2018$75,000
Mount Kellett Capital Management LP? investor protection violation2018$160,000
Genesis Associates Limited Partnership investor protection violation2018$50,000
FP Resources USA Inc investor protection violation2018$92,383
Lobster Point Holdings Limited investor protection violation2018$92,383
HBA Advisors, LLC investor protection violation2018$15,000
Sofinnova Ventures, Inc. investor protection violation2018$120,000
Romano Brothers & Company investor protection violation2018$15,000
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018$6,506,016
Aisling Capital LLC investor protection violation2018$200,000
Grand Teton Capital Management, LLC? investor protection violation2018$141,443
Bayes Capital, LLC investor protection violation2018$300,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. investor protection violation2018$8,000,000
Lyxor Asset Management, Inc. investor protection violation2018$500,000
Manhattan Transfer Registrar Company investor protection violation2018$52,493
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018$33,848
Equity Services, Inc. investor protection violation2009$300,000
Simpson Capital Management, Inc. investor protection violation2009$6,650,000
Merriman Curhan Ford & Co. investor protection violation2009$100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Perceptive Advisors LLC investor protection violation2009$439,755
First New York Securities L.L.C. investor protection violation2009$69,008
GLB Trading, Inc. investor protection violation2009$220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009$100,000
United Global Securities, Inc. investor protection violation2009$25,000
Lightspeed Trading LLC investor protection violation2009$77,260
Merchant Capital, L.L.C. investor protection violation2009$55,000
United Industrial Corporation investor protection violation2009$337,679
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
INTECH Investment Management LLC investor protection violation2009$300,000
Hennessee Group LLC investor protection violation2009$814,644
Cornerstone Capital Management, Inc.? investor protection violation2009$335,758
Susquehanna Investment Group investor protection violation2009$7,640,000
Group One Trading, L.P. investor protection violation2009$1,800,000
Equitec Proprietary Markets, LLC investor protection violation2009$2,080,000
Botta Capital Management, L.L.C. investor protection violation2009$825,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Vantage Drilling International Foreign Corrupt Practices Act2018$5,000,000
CarrierEQ Inc. (Airfox) investor protection violation2018$250,000
Paragon Coin Inc. investor protection violation2018$250,000
ITG Inc. investor protection violation2018$12,000,000
COR Clearing LLC data submission deficiencies2018$800,000
CMB Export LLC investor protection violation2018$5,150,000
Cardiff Lexington Corporation investor protection violation2018$25,000
Cool Technologies Inc. investor protection violation2018$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.