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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 TypeYearPenalty Amount sort icon
Stein Mart Inc. accounting fraud or deficiencies2015$800,000
eBX LLC investor protection violation2012$800,000
Compass Capital Group, Inc. investor protection violation2009$800,000
Van Wagoner Capital Management, Inc. investor protection violation2004$800,000
COR Clearing LLC data submission deficiencies2018$800,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018$800,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$800,000
Cormark Securities Inc. investor protection violation2020$800,000
tZERO ATS, LLC investor protection violation2022$800,000
Maxim Group, LLC investor protection violation2023$800,000
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
Madison Avenue Securities, LLC investor protection violation2022$803,173
Candlestick Capital Management LP investor protection violation2023$810,000
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019$812,500
Instinet LLC investor protection violation2013$813,280
Hennessee Group LLC investor protection violation2009$814,644
China Natural Gas Inc. accounting fraud or deficiencies2013$815,000
Ardsley Advisory Partners investor protection violation2013$815,071
Motilal Oswal Securities Limited investor protection violation2012$821,594
True Capital Management, LLC investor protection violation2023$821,793
Laidlaw & Company (UK) Ltd. investor protection violation2023$822,884
Maplelane Capital LLC investor protection violation2022$824,041
Botta Capital Management, L.L.C. investor protection violation2009$825,000
The Hartcourt Companies, Inc. fraud2005$832,598
Concorde America, Inc. investor protection violation2009$841,175
Institutional Investors Advisory Company investor protection violation2017$843,187
Huntleigh Advisors, Inc. investor protection violation2023$843,502
Regal Investment Advisors LLC investor protection violation2021$846,774
Kahn Brothers Advisors, LLC investor protection violation2022$847,899
Rafferty Capital Markets investor protection violation2014$849,626
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
Clay Capital Management LLC investor protection violation2012$850,000
Basic Capital Management, Inc. investor protection violation2002$850,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010$850,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Harding Advisory LLC investor protection violation2019$850,000
Energy Innovation Capital Management, LLC investor protection violation2022$853,681
Duff & Phelps Investment Management Co., Inc investor protection violation2001$854,161
Aerokinetic Energy Corporation investor protection violation2011$859,571
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Vollero Beach Capital Partners investor protection violation2013$864,427
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$875,000
Augustine Capital Management LLC investor protection violation2017$878,305
Creative Financial Designs, Inc. investor protection violation2020$890,240
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021$891,202
Woodbridge Group of Companies LLC investor protection violation2019$892,000
Fry Hensley and Company investor protection violation2013$894,657
Kovack Advisors, Inc. investor protection violation2019$898,781
Kovack Advisors, Inc. investor protection violation2022$899,513
Hamlin Capital Management, LLC? investor protection violation2018$900,000
Argo Group International Holdings, Ltd. investor protection violation2020$900,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
Ross, Sinclaire & Associates, LLC investor protection violation2016$903,574
Briargate Trading LLP investor protection violation2015$912,842
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
Cantella & Co., Inc. investor protection violation2019$919,597
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2019$925,023
BPU Investment Management, Inc. investor protection violation2020$927,107
Aventura Capital Management, LLC investor protection violation2022$938,756
Coachman Energy Partners LLC investor protection violation2017$941,507
Intervoice investor protection violation2007$942,628
Quogue Capital LLC investor protection violation2008$944,056
Hudson Bay Capital Management investor protection violation2013$949,453
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000$950,000
RSM US LLP accounting fraud or deficiencies2019$950,000
BorgWarner Inc.BorgWarnerautomotive partsaccounting fraud or deficiencies2020$950,000
HG Vora Capital Management LLC investor protection violation2024$950,000
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022$956,833
Mason Investment Advisory Services, Inc investor protection violation2021$975,057
Infinex Investments, Inc. investor protection violation2019$978,698
Fontana Capital, LLC investor protection violation2011$984,790
LandOak Securities LLC investor protection violation2011$992,140
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$1,000,000
Cabela'sBass Proretailingaccounting fraud or deficiencies2016$1,000,000
E.S. Financial Services anti-money-laundering deficiencies2016$1,000,000
Sands Brothers Asset Management LLC investor protection violation2015$1,000,000
Spencer Pharmaceutical Inc. investor protection violation2015$1,000,000
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015$1,000,000
Athena Capital Research investor protection violation2014$1,000,000
Fuqi International Inc. accounting fraud or deficiencies2013$1,000,000
Keyuan Petrochemicals accounting fraud or deficiencies2013$1,000,000
Advanced Equities Inc investor protection violation2012$1,000,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$1,000,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010$1,000,000
SafeNet, Inc. accounting fraud or deficiencies2009$1,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004$1,000,000
Security Trust Company, N.A. investor protection violation2004$1,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003$1,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
Rhino Advisors Inc. investor protection violation2003$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.