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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
Great Point Partners investor protection violation2014$109,597
Indaba Capital Management investor protection violation2014$304,185
Ironman Capital Management investor protection violation2014$87,226
Midwood Capital Management investor protection violation2014$142,947
RA Capital Management investor protection violation2014$3,624,359
Rockwood Investment Management investor protection violation2014$237,988
Seawolf Capital investor protection violation2014$296,937
Solus Alternative Asset Management investor protection violation2014$105,495
SuttonBrook Capital Management investor protection violation2014$70,000
Troubh Partners investor protection violation2014$408,710
Vinci Partners Investimentos investor protection violation2014$448,707
Whitebox Advisors investor protection violation2014$1,202,924
AgFeed Industries accounting fraud or deficiencies2014$18,000,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014$18,500,000
Advanced Cell Technology investor protection violation2014$375,000
Linkbrokers Derivatives LLC investor protection violation2014$14,000,000
AIC Inc. investor protection violation2014$66,760,521
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014$4,070,000
OM Investment Management accounting fraud or deficiencies2014$1,729,800
AutoChina International Limited accounting fraud or deficiencies2014$4,350,000
TL Ventures Inc illicit political contributions2014$294,894
Liquidnet Inc. investor protection violation2014$2,000,000
Rafferty Capital Markets investor protection violation2014$849,626
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014$4,500,000
Empire Stock Transfer Inc. investor protection violation2014$50,000
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014$20,000,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
Redfin Network Inc. accounting fraud or deficiencies2014$19,480
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014$12,950,000
Lions Gate Entertainment Corp.Lions Gate Entertainmententertainmentaccounting fraud or deficiencies2014$7,500,000
Belmont Partners LLC accounting fraud or deficiencies2014$224,500
Apple Six Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Seven Advisors Inc. accounting fraud or deficiencies2014$375,000
Apple Eight Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Nine Advisors Inc. accounting fraud or deficiencies2014$250,000
CITIC Securities International Investment Management (HK) Limited investor protection violation2014$6,600,000
China Shenghai Investment Management Limited investor protection violation2014$4,300,000
Onyx Capital Advisors investor protection violation2014$9,100,000
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014$8,200,000
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014$5,000,000
Lally & Co., LLC accounting fraud or deficiencies2014$10,000
Joseph Yafeh CPA, Inc. accounting fraud or deficiencies2014$20,000
Eureeca Capital SPC investor protection violation2014$25,000
Clean Energy Capital, LLC investor protection violation2014$2,246,030
Rothman Securities, Inc. investor protection violation2014$90,000
Highland Capital Management, L.P. investor protection violation2014$225,000
Colorado Financial Service Corporation investor protection violation2014$25,000
Westend Capital Management, LLC investor protection violation2014$150,000
Security Capital Research & Management Incorporated investor protection violation2014$88,000
Willis Lease Finance Corporation investor protection violation2014$150,000
Tel-Instrument Electronics Corp. investor protection violation2014$75,000
KMG Chemicals, Inc.Entegriselectrical and electronic equipmentinvestor protection violation2014$150,000
Jones Lang LaSalle IncorporatedJones Lang LaSallereal estateinvestor protection violation2014$150,000
Del Mar Asset Management, LP investor protection violation2014$66,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014$120,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014$120,000
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014$75,000
Lazarus Management Company LLC investor protection violation2014$60,000
P.A.W. Capital Partners, L.P. investor protection violation2014$68,000
RIMA Senvest Management, LLC investor protection violation2014$68,000
Sankaty Advisors, LLC investor protection violation2014$68,000
Trinad Management, LLC investor protection violation2014$95,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014$75,000
Ridgeback Capital Management LP investor protection violation2014$104,500
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. investor protection violation2014$300,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$20,000,000
Monness, Crespi, Hardt & Co., Inc. investor protection violation2014$150,000
The Phoenix Companies, Inc. investor protection violation2014$100,000
PHL Variable Insurance Company investor protection violation2014$100,000
Dominick & Dominick LLC investor protection violation2014$75,000
Lakeside Capital Management, LLC investor protection violation2014$590,152
EFP Rotenberg, LLP accounting fraud or deficiencies2014$50,000
Paradigm Capital Management, Inc. investor protection violation2014$2,181,771
UASNM, Inc. investor protection violation2014$100,000
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. investor protection violation2014$1,583,942
Ironbird Capital LLC investor protection violation2014$335,435
HD Mile High Marketing, Inc. investor protection violation2014$250,076
Ruby Corporation investor protection violation2014$1,100,000
Lightspeed Trading LLC investor protection violation2014$478,216
The Phoenix Companies, Inc. investor protection violation2014$375,000
PHL Variable Insurance Company investor protection violation2014$375,000
BDL Manager LLC investor protection violation2014$3,297,740
Worldwide Capital, Inc. investor protection violation2014$7,253,726
Axius Holdings, LLC investor protection violation2014$60,881
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015$19,500,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015$39,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015$15,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015$4,250,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015$180,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015$20,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$7,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015$30,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.