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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 ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$83,000,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2024$98,400,000
Medsis International, Inc. investor protection violation2024$15,871,200
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024$2,200,000
Van Eck Associates Corporation investor protection violation2024$1,750,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024$16,500,000
Guggenheim Securities LLC investor protection violation2024$15,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$12,000,000
Cambridge Investment Research Inc. investor protection violation2024$10,000,000
Key Investment Services LLC investor protection violation2024$10,000,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024$8,000,000
Huntington Investment Company investor protection violation2024$1,250,000
TradeStation Crypto, Inc. investor protection violation2024$1,500,000
Rockwell Capital Management investor protection violation2024$1,602,089
Northern Star Investment Corp. II investor protection violation2024$1,500,000
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024$1,542,187
SHE Beverage Company, Inc. investor protection violation2024$12,760,274
Comer Capital Group, LLC investor protection violation2024$55,000
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024$24,234,548
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024$1,145,000
Grenda Group, LLC investor protection violation2024$400,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024$1,250,000
HG Vora Capital Management LLC investor protection violation2024$950,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024$25,500,000
RenovaCare, Inc. investor protection violation2024$500,000
3D/L Capital Management, LLC investor protection violation2024$285,607
ShapeShift AG investor protection violation2024$275,000
Clark Schaefer Hackett & Co. investor protection violation2024$80,881
Contrarian Capital Management, L.L.C. investor protection violation2024$521,326
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023$5,000,000
Nexo Capital Inc. investor protection violation2023$22,500,000
Moors & Cabot, Inc. investor protection violation2023$1,899,456
National Trust and Fiduciary Services Company, Inc. investor protection violation2023$346,799
Energy & Environmental Investments, LLC and Energy & Environment, Inc. investor protection violation2023$5,428,694
Back to Green Mining, LLC investor protection violation2023$3,442,175
African Gold Acquisition Corp. investor protection violation2023$103,591
Ensign Peak Advisers Inc. investor protection violation2023$4,000,000
Church of Jesus Christ of Latter-day Saints investor protection violation2023$1,000,000
HITE Hedge Asset Management LLC et al. investor protection violation2023$214,591
Candlestick Capital Management LP investor protection violation2023$810,000
The Options Clearing Corporation investor protection violation2023$17,000,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023$9,635,911
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023$30,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023$4,000,000
Centaurus Financial, Inc. investor protection violation2023$755,499
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023$35,000,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023$3,000,000
Rio Tinto plcRio Tintomining and mineralsForeign Corrupt Practices Act2023$15,000,000
Silver Edge Financial LLC investor protection violation2023$3,475,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023$1,000,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023$8,500,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023$8,000,000
E. Magnus Oppenheim & Co. Inc investor protection violation2023$50,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
Flutter Entertainment plcFlutter Entertainment PLCentertainmentForeign Corrupt Practices Act2023$4,000,000
Equity Acquisition Company Ltd. investor protection violation2023$3,917,436
Chembio Diagnostics, Inc. investor protection violation2023$500,000
Cambria Capital, LLC investor protection violation2023$100,000
Huntleigh Advisors, Inc. investor protection violation2023$843,502
Datatex Investment Services, Inc. investor protection violation2023$50,000
Foresight Wealth Management, LLC investor protection violation2023$1,893,486
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023$9,660,000
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023$18,800,000
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023$55,900,000
Windy Inc. investor protection violation2023$89,979
Braverock Investments LLC investor protection violation2023$132,000
Betterment LLC investor protection violation2023$9,000,000
Corvex Management LP investor protection violation2023$1,000,000
Gaia Inc. investor protection violation2023$2,000,000
Chicago Crypto Capital LLC investor protection violation2023$1,071,686
CW Petroleum Corp. investor protection violation2023$5,000
DNA Brands Inc. investor protection violation2023$10,000
Graystone Company Inc. investor protection violation2023$25,000
Green Stream Holdings Inc. investor protection violation2023$75,000
Hemp Naturals Inc. investor protection violation2023$50,000
LiveWire Ergogenics Inc. investor protection violation2023$50,000
Principal Solar Inc. investor protection violation2023$40,000
SFLMaven Corp. investor protection violation2023$25,000
The Marquie Group Inc. investor protection violation2023$10,000
Verde Bio Holdings Inc. investor protection violation2023$90,000
Philips N.V.Royal PhilipsdiversifiedForeign Corrupt Practices Act2023$62,000,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023$15,000,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023$7,500,000
Pinnacle Investments LLC investor protection violation2023$476,000
Classic Asset Management LLC investor protection violation2023$195,228
Coinme Inc. investor protection violation2023$250,000
Up Global SEZC investor protection violation2023$3,520,000
Trends Investments Inc. investor protection violation2023$4,007,027
Expro Group Holdings N.V. investor protection violation2023$7,998,721
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023$9,000,000
BHP Capital NY, Inc. investor protection violation2023$2,500,000
Hydrogen Technology Corporation investor protection violation2023$2,796,234
Boyle CP LLC accounting fraud or deficiencies2023$50,000
Cantaloupe, Inc. investor protection violation2023$1,500,000
First Guaranty Bancshares, Inc. investor protection violation2023$600,000
RTW Investments, LP investor protection violation2023$1,400,000
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023$275,000
RSE Markets Inc. investor protection violation2023$350,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.