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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
Titan Global Capital Management USA LLC investor protection violation2023$1,042,454
Collaborative Financial Consulting LLC investor protection violation2023$20,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023$1,327,147
D. E. Shaw & Co., L.P. investor protection violation2023$10,000,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023$35,000,000
Robert W. Baird & Co. Inc. investor protection violation2023$15,000,000
William Blair & Company LLC investor protection violation2023$10,000,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023$8,500,000
Fifth Third Securities Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$8,000,000
Perella Weinberg Partners LP investor protection violation2023$2,500,000
DBRS Inc. investor protection violation2023$6,000,000
Kroll Bond Rating Agency, LLC investor protection violation2023$4,000,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023$12,500,000
Albemarle CorporationAlbemarlechemicalsForeign Corrupt Practices Act2023$103,600,000
Nano-X Imaging Ltd. investor protection violation2023$650,000
Luther Speight & Company, LLC investor protection violation2023$20,000
Appomattox Advisory, Inc. investor protection violation2023$150,000
Florence Capital Advisors, LLC investor protection violation2023$200,000
Maxim Group, LLC investor protection violation2023$800,000
Spruce Power Holding Corporation investor protection violation2023$11,000,000
Exelon CorporationExelonutilities and power generationfraud2023$46,200,000
Clear Channel Outdoor Holdings Inc.Clear Channel Outdoor Holdingsbusiness servicesForeign Corrupt Practices Act2023$26,100,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
Osaic Wealth, Inc. investor protection violation2023$100,000
FSC Securities Corporation investor protection violation2023$100,000
Salomon Whitney LLC investor protection violation2023$236,173
Forepont Capital LLC investor protection violation2023$150,000
Apexium Financial LP investor protection violation2023$150,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023$1,975,000
TAL Education Group investor protection violation2023$1,250,000
Cloudastructure, Inc. investor protection violation2023$558,071
Hightimes Holding Corp investor protection violation2023$558,071
Cumberland Pharmaceuticals Inc. investor protection violation2023$200,000
AgEagle Aerial Systems Inc. investor protection violation2023$190,000
eXp World Holdings, Inc. investor protection violation2023$115,000
SolarEdge Technologies, Inc. investor protection violation2023$125,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
Hyzon Motors Inc. fraud2023$25,000,000
AssetMark Inc. investor protection violation2023$18,000,000
Bruderman Asset Management LLC investor protection violation2023$250,000
DWS Investment Management Americas Inc.Deutsche Bankfinancial servicesinvestor protection violation2023$25,000,000
Highlander Capital Management, LLC investor protection violation2023$150,000
Fieldman Rolapp & Associates, Inc. investor protection violation2023$127,916
Wellesley Asset Management, Inc investor protection violation2023$1,000,000
American Infrastructure Funds LLC investor protection violation2023$1,600,000
Citadel Securities LLC investor protection violation2023$7,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$6,000,000
J.H. Darbie & Co., Inc. investor protection violation2023$125,000
Carl M. Hennig, Inc. investor protection violation2023$50,000
Kandi Technologies Group, Inc. investor protection violation2023$710,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023$375,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023$10,000,000
GGToor, Inc. investor protection violation2023$40,000
Summit Planning Group, Inc. investor protection violation2023$109,401
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023$28,000,000
Laidlaw & Company (UK) Ltd. investor protection violation2023$822,884
Bell Rock Capital, LLC investor protection violation2023$1,509,048
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023$25,000,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023$6,000,000
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023$2,500,000
Thor Technologies, Inc. investor protection violation2023$1,053,193
Anson Advisors Inc investor protection violation2023$3,330,394
Eagan Capital Management, LLC investor protection violation2023$50,000
Brooge Energy Limited investor protection violation2023$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023$10,000,000
OEP Capital Advisors, L.P. investor protection violation2023$4,000,000
BarnBridge DAO investor protection violation2023$1,457,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022$4,628,194
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022$18,000,000
KT Corporation Foreign Corrupt Practices Act2022$6,300,000
Arthur Zaske & Associates, LLC investor protection violation2022$15,000
Banyan Securities, LLC investor protection violation2022$10,000
Church, Gregory, Adams Securities Corporation investor protection violation2022$10,000
Gutt Financial Management, LLC investor protection violation2022$25,000
Hinsdale Associates, Inc. investor protection violation2022$25,000
J.K. Financial Services, Inc. investor protection violation2022$10,000
N.V.N.G. Investments, Inc. investor protection violation2022$15,000
Personal Financial Planning, Inc. investor protection violation2022$25,000
Stone Run Capital, LLC investor protection violation2022$25,000
The Winning Edge Financial Group, Inc. investor protection violation2022$10,000
Wall Street Access investor protection violation2022$97,523
Watermark Securities, Inc. investor protection violation2022$25,000
BlockFi Lending LLC investor protection violation2022$50,000,000
Wahed Invest, LLC investor protection violation2022$300,000
CMG Capital Management Group, Inc. investor protection violation2022$70,000
Comprehensive Capital Management, Inc. investor protection violation2022$375,654
O.N. Investment Management Company investor protection violation2022$1,238,653
tZERO ATS, LLC investor protection violation2022$800,000
Leaf Group Ltd. investor protection violation2022$325,000
OneStep Financial Services, LLC investor protection violation2022$631,179
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022$1,000,000
Weiss Asset Management LP investor protection violation2022$6,899,004
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022$187,000,000
Petroteq Energy, Inc. investor protection violation2022$1,000,000
CohnReznick LLP accounting fraud or deficiencies2022$1,900,000
United Health Products, Inc. accounting fraud or deficiencies2022$450,000
Synchronoss Technologies, Inc.Synchronoss Technologiesinformation technologyinvestor protection violation2022$12,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022$1,150,000
Trust Advisory Group, Ltd. investor protection violation2022$214,460
Kahn Brothers Advisors, LLC investor protection violation2022$847,899
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.