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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
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
ICE Data Pricing & Reference Data LLC investor protection violation2020$8,000,000
BlueCrest Capital Management Limited investor protection violation2020$170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020$1,000,000
Applied BioSciences Corp. investor protection violation2020$25,000
Bancwest Investment Services, Inc. investor protection violation2020$406,432
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020$137,500,000
Bolton Securities Corporation investor protection violation2021$224,994
World Tree Financial, LLC investor protection violation2021$647,947
Winslow and Evans & Crocker, Inc. investor protection violation2021$1,851,787
Premier Holding Corp. investor protection violation2021$9,691,500
Lightspeed Trading, LLC investor protection violation2021$100,000
Wireline, Inc. investor protection violation2021$650,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
ConTXT, Inc investor protection violation2021$571,153
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
GWFS Equities Inc. anti-money-laundering deficiencies2021$1,500,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021$9,000,000
Fortem Resources, Inc. investor protection violation2021$25,000
TruTankless, Inc. investor protection violation2021$25,000
ShiftPixy, Inc. investor protection violation2021$25,000
Rokk3r, Inc. investor protection violation2021$50,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021$25,000
HQDA Elderly Life Network Corp. investor protection violation2021$50,000
Asta Funding, Inc. investor protection violation2021$50,000
Igen Networks Corp. investor protection violation2021$25,000
Legacy Group, Inc. investor protection violation2021$502,726
Students of Strength, Inc. investor protection violation2021$222,517
VII Peaks Capital, LLC investor protection violation2021$1,030,699
Emperor Investments, Inc. investor protection violation2021$25,000
Centaurus Financial, Inc. investor protection violation2021$1,281,396
Mason Investment Advisory Services, Inc investor protection violation2021$975,057
Ettro Capital Management Corp. investor protection violation2021$60,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Regal Investment Advisors LLC investor protection violation2021$846,774
BFC Planning, Inc. investor protection violation2021$305,811
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
App Annie Inc. investor protection violation2021$10,000,000
ProSky, Inc. investor protection violation2021$4,700,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. investor protection violation2021$539,000,000
DBRS, INC. investor protection violation2021$1,000,000
Rothschild Investment Corporation investor protection violation2021$2,471,667
JW Korth & Company L.P. investor protection violation2021$176,533
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
Diastole Wealth Management, Inc. investor protection violation2021$100,000
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
Frontier Wealth Management, LLC investor protection violation2021$658,712
Pareteum Corporation investor protection violation2021$500,000
McDonald Partners, LLC investor protection violation2021$194,682
Cetera Advisor Networks LLC et al. investor protection violation2021$300,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. investor protection violation2021$250,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Cantella & Co., Inc. investor protection violation2021$701,630
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Educators Financial Services, Inc. investor protection violation2021$790,365
Crews & Associates Inc. investor protection violation2021$244,072
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021$1,957,053
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Northwest Advisors, Inc. investor protection violation2021$245,000
SoFi Wealth, LLC investor protection violation2021$300,000
Murchinson Ltd. investor protection violation2021$8,878,183
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.