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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,255,717,458
Number of Records: 2,801
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
TherapeuticsMD Inc. investor protection violation2019$200,000
WalmartWalmartretailingForeign Corrupt Practices Act2019$144,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$8,100,000
Channing Capital Management, LLC investor protection violation2019$50,000
Portfolio Advisors Alliance investor protection violation2019$1,259,721
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$1,545,758
Golden California Regional Center, LLC investor protection violation2019$50,295,232
Capital Source Lending LLC investor protection violation2019$5,720,451
XBT Corp Sarl dba First Global Credit investor protection violation2019$131,952
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019$500,000
Northwest Biotherapeutics, Inc. investor protection violation2019$250,000
Lek Securities Corp. investor protection violation2019$1,525,892
PlexCorps investor protection violation2019$4,911,613
Block.one investor protection violation2019$24,000,000
Bill Few Associates Inc. investor protection violation2019$2,398,304
Cargile Investment Management Inc. investor protection violation2019$70,140
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Equity Services Inc. investor protection violation2019$587,017
Essex Financial Services Inc. investor protection violation2019$645,000
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019$59,478
Henley & Company Wealth Management LLC investor protection violation2019$36,866
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
IC Advisory Services Inc. investor protection violation2019$1,195,186
Independent Financial Group LLC investor protection violation2019$1,426,150
Investment Partners Ltd. investor protection violation2019$43,384
IPG Investment Advisors LLC investor protection violation2019$85,294
Michigan Advisors Inc. investor protection violation2019$327,976
Saxony Capital Management LLC investor protection violation2019$230,220
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
Founders Financial Securities, LLC investor protection violation2019$1,475,465
Outset Global LLP investor protection violation2019$207,409
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
Nebulous, Inc. investor protection violation2019$224,601
Mid Atlantic Financial Management, Inc. investor protection violation2019$300,000
Longfin Corp. investor protection violation2019$6,755,848
Cutting Edge Business Services, Inc. investor protection violation2019$273,336
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$37,980,000
Westport Fuels Systems, Inc. Foreign Corrupt Practices Act2019$4,046,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019$40,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019$20,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019$30,000,000
Omgeo Matching Services US, LLC investor protection violation2019$2,000,000
Barclays PLCBarclaysfinancial servicesForeign Corrupt Practices Act2019$6,308,726
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019$4,300,000
Harding Advisory LLC investor protection violation2019$850,000
Pinnacle Companies, LLC investor protection violation2019$1,112,000
Three Bridge Wealth Advisors, LLC investor protection violation2019$60,000
Amadeus Wealth Advisors, LLC investor protection violation2019$40,000
ECP Manager LP investor protection violation2019$122,656
Quad/Graphics Inc.Quad/Graphicsmiscellaneous servicesForeign Corrupt Practices Act2019$9,895,334
BrixInvest, LLC investor protection violation2019$300,000
Cetera Investment Advisers LLC investor protection violation2019$185,000
Hefren-Tillotson, Inc. investor protection violation2019$379,965
Strong Investment Management investor protection violation2019$1,061,157
TMC Bonds LLC privacy violation2019$2,100,000
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019$5,000,000
Strategic Planning Group, Inc. investor protection violation2019$200,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019$7,944,055
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019$15,000,000
TechnipFMC plcTechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2019$5,061,906
HCR Wealth Advisors investor protection violation2019$220,000
The Bancorp, Inc. investor protection violation2019$1,400,000
Sigma Planning Corp. investor protection violation2019$2,546,718
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019$2,700,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$1,950,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019$32,600,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2019$5,500,000
Vandham Securities Corp. investor protection violation2019$200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC investor protection violation2019$250,000
ED Capital Management, LLC investor protection violation2019$75,000
Bio Defense Corp. investor protection violation2019$37,475,717
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019$10,000,000
Blockchain of Things Inc. investor protection violation2019$250,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
EricssonEricssontelecommunicationsForeign Corrupt Practices Act2019$539,000,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019$5,500,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019$1,500,000
Palm Beach Atlantic Financial Group, LLC investor protection violation2019$75,000
Global Corporate Strategies LLC investor protection violation2019$4,120,000
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019$1,000,000
Bluefin Trading, LLC investor protection violation2019$303,638
Critical Trading, LLC investor protection violation2019$219,092
Stonemor Partners L.P. and Stonemor GP LLC investor protection violation2019$250,000
Kornitzer Capital Management, Inc. investor protection violation2019$3,626,995
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019$250,000
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
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,304,197
Americafirst Capital Management, LLC investor protection violation2018$50,000
Gemini Fund Services, LLC investor protection violation2018$400,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$1,250,000
LKL Investment Counsel LLC investor protection violation2018$100,000
BDO Canada accounting fraud or deficiencies2018$50,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018$241,305
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.