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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
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018$1,404,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018$14,000,000
Edwin Shaw LLC investor protection violation2018$544,744
Weinberg & Baer LLC accounting fraud or deficiencies2018$62,899
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$4,450,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018$230,000
Dedicated Sound and Audio, Inc. investor protection violation2018$250,000
Choice Equity investor protection violation2018$2,430,850
Southridge Capital Management LLC and Southridge Advisors LLC investor protection violation2018$7,864,064
Elbit Imaging Ltd. accounting fraud or deficiencies2018$500,000
Li & Co. accounting fraud or deficiencies2018$70,143
Capital Cove Bancorp LLC investor protection violation2018$1,829,868
PNC Investments LLCPNC Financial Servicesfinancial servicesinvestor protection violation2018$7,307,770
Securities America Advisors Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2018$5,828,448
Geneos Wealth Management Inc. investor protection violation2018$1,808,121
CSIR Group, LLC investor protection violation2018$17,142
Verto Capital Management LLC investor protection violation2018$620,594
Aegis Capital Corporation anti-money-laundering deficiencies2018$750,000
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018$2,800,000
JH Darbie & Co. accounting fraud or deficiencies2018$50,113
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Electronic Transaction Clearing Inc. investor protection violation2018$80,000
Securities Compliance Group, Ltd. investor protection violation2018$27,655
Revolutionary Concepts, Inc. investor protection violation2018$25,000
Panasonic Corp.Panasonicelectrical and electronic equipmentForeign Corrupt Practices Act2018$143,000,000
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
The Dun & Bradstreet CorporationDun & Bradstreetinformation technologyForeign Corrupt Practices Act2018$9,221,484
Arlington Capital Management, Inc. investor protection violation2018$125,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$15,000,000
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018$34,500,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018$97,600,000
First Western Advisors investor protection violation2018$202,767
Intertech Solutions, Inc. investor protection violation2018$7,400,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$8,900,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018$10,500,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018$4,500,000
NW Capital Markets Inc. investor protection violation2018$87,065
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018$1,900,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018$1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$73,200,000
BGC Financial accounting fraud or deficiencies2018$1,250,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018$29,700,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018$2,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018$3,600,000
Alexander Capital L.P. investor protection violation2018$410,987
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018$15,700,000
deVere USA, Inc. investor protection violation2018$8,000,000
Bachrach Asset Management Inc. investor protection violation2018$75,000
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor 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
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
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
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$2,800,000
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
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018$8,872,723
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
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018$100,000
EnCap Investments L.P.Encap Investmentsprivate equity (including portfolio companies)investor protection violation2018$500,000
Sofinnova Ventures, Inc. investor protection violation2018$120,000
Romano Brothers & Company investor protection violation2018$15,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018$1,000,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018$1,750,000
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018$8,181,838
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
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.