Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
ISC Advisors, Inc. investor protection violation2021$716,345
Poloniex LLC investor protection violation2021$10,388,309
Blockchain Credit Partners investor protection violation2021$12,849,354
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2021$275,000
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021$481,920
USA Financial Securities Corporation investor protection violation2021$249,455
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021$10,000,000
First Heartland Consultants, Inc. investor protection violation2021$1,045,528
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021$250,000
Herbert J. Sims & Co., Inc. investor protection violation2021$250,000
Integral Financial, LLC investor protection violation2021$85,000
Coburn & Meredith, Inc investor protection violation2021$299,340
Canton Hathaway LLC investor protection violation2021$25,000
Carmel Capital Management LLC investor protection violation2021$25,000
Castle Wealth Planning LLC investor protection violation2021$25,000
Cohen Klingenstein LLC investor protection violation2021$97,523
Dynamic Trading Management LLC investor protection violation2021$10,000
Eastside Financial Advisors LLC investor protection violation2021$10,000
Embree Financial Group Inc. investor protection violation2021$97,523
Harold Davidson & Associates Inc. investor protection violation2021$25,000
John A. Bysko Associates investor protection violation2021$25,000
Madden Funds Management Ltd. investor protection violation2021$25,000
Medallion Wealth Advisors LLC investor protection violation2021$25,000
Mighty Oak Strong America Investment Company investor protection violation2021$25,000
Minot DeBlois Advisors LLC investor protection violation2021$97,523
O'Brien Greene & Co. Inc. investor protection violation2021$25,000
Paratus Financial Inc. investor protection violation2021$97,523
Quantitative Asset Management LLC investor protection violation2021$25,000
Sauberan & Company LLC investor protection violation2021$10,000
Summit Financial Advisors Inc. investor protection violation2021$25,000
The Cavanaugh Group Inc. investor protection violation2021$50,000
Westbourne Investments Inc. investor protection violation2021$25,000
Bill Parker Agency investor protection violation2021$10,000
Birkelbach & Co. investor protection violation2021$10,000
Capital Portfolio Management Inc. investor protection violation2021$25,000
Greentree Investment Services Inc. investor protection violation2021$10,000
ST Invest LLC d/b/a Trade App investor protection violation2021$10,000
Tradier Brokerage Inc. investor protection violation2021$50,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021$200,000
First Capital Real Estate Investments, LLC investor protection violation2021$3,876,400
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021$8,112,174
Cascade Investment Group, Inc investor protection violation2021$125,000
Blotics Ltd investor protection violation2021$201,687
Momentus Inc. investor protection violation2021$7,000,000
Stable Road Acquisition Company investor protection violation2021$1,000,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021$97,000,000
Kestra Private Wealth Services, LLC investor protection violation2021$299,569
Kestra Advisory Services, LLC investor protection violation2021$10,003,172
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021$340,193
PLS, CPA investor protection violation2021$73,028
St. Germain Investment Management, Inc. investor protection violation2021$1,925,250
Parallax Health Sciences Inc. investor protection violation2021$100,000
Westport Capital Markets, LLC investor protection violation2021$1,320,761
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$1,750,000
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021$83,582
Neovest Inc. investor protection violation2021$2,750,000
Amec Foster Wheeler LimitedWood Groupoilfield services and suppliesForeign Corrupt Practices Act2021$10,100,000
Crown Capital Securities, L.P. investor protection violation2021$1,587,912
Gateway One Lending & Finance, LLC investor protection violation2021$6,513,192
Guggenheim Securities, LLC investor protection violation2021$208,912
Loci Inc. investor protection violation2021$7,600,000
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
Intervest International, Inc. investor protection violation2021$205,277
Feltl Advisors, LLC investor protection violation2021$333,971
Verus Capital Partners, LLC investor protection violation2021$45,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021$1,207,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021$350,000
Newman Ladd Capital Advisors, LLC investor protection violation2021$25,000
American Renal Associates Holdings, Inc. investor protection violation2021$2,000,000
Andiamo Corporation investor protection violation2021$150,000
Sperry and Sons Capital Investments, LLC investor protection violation2021$284,480
Upright Financial Corp. investor protection violation2021$517,209
MIO Partners Inc. investor protection violation2021$18,000,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021$1,250,000
Fixed Income Clearing Corporation investor protection violation2021$8,000,000
Lexion Capital Management LP investor protection violation2021$10,000
Akazoo S.A. investor protection violation2021$38,800,000
Disciplined Capital Management LLC investor protection violation2021$25,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
VTB Capital plc investor protection violation2021$6,429,883
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021$300,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021$891,202
Redwood Wealth Management, LLC investor protection violation2021$50,000
Tradition Securities and Derivatives, LLC investor protection violation2021$1,787,459
Cowen Prime Advisors LLC investor protection violation2021$768,879
Resolute Capital Partners LTD LLC and Homebound Resources LLC investor protection violation2021$450,000
WPP plcWPPbusiness servicesForeign Corrupt Practices Act2021$19,100,000
Revere Securities, LLC investor protection violation2021$50,000
Coda Markets, Inc. investor protection violation2021$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021$125,000,000
PeachCap Tax & Advisory, LLC investor protection violation2021$138,813
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021$125,000,000
1st Global Advisors, Inc. investor protection violation2021$16,873,153
Global Infrastructure Management, LLC investor protection violation2021$4,500,000
Cardinal Health, Inc.Cardinal HealthwholesalersForeign Corrupt Practices Act2020$8,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020$35,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Enigma MPC investor protection violation2020$500,000
Diageo plcDiageobeveragesinvestor protection violation2020$5,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020$586,000
Hill International, Inc. accounting fraud or deficiencies2020$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.