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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 Type sort iconYearPenalty Amount
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
First Southwest Company investor protection violation2008$150,000
Quogue Capital LLC investor protection violation2008$944,056
vFinance Investments, Inc. investor protection violation2008$26,559
First Montauk Securities Corp. investor protection violation2008$100,742
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
Heartland Advisors, Inc. investor protection violation2008$3,500,000
Chronos Asset Management, Inc. investor protection violation2008$2,176,915
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
Park Financial Group, Inc. investor protection violation2007$30,373
Founding Partners Capital Management Compan investor protection violation2007$182,244
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Consulting Services Group, LLC investor protection violation2007$20,000
MCL Financial Group, Inc. investor protection violation2007$60,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
Intervoice investor protection violation2007$942,628
D.M. Keck & Company, Inc. investor protection violation2007$15,000
Financial Design Associates, Inc. investor protection violation2007$300,000
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007$244,921
Haidar Capital Management, LLC investor protection violation2007$4,580,000
GLG Partners, LP investor protection violation2007$2,703,635
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
Amaranth Advisors L.L.C. investor protection violation2007$716,819
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Tier One, Inc. investor protection violation2007$85,500
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Imperium Advisors, LLC investor protection violation2007$119,964
Temple Securities, Ltd. investor protection violation2007$268,346
Vertical Capital Partners, Inc. investor protection violation2007$490,432
Pacific Growth Equities, LLC investor protection violation2007$425,000
Kelmoore Investment Company, Inc. investor protection violation2007$100,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006$495,596
Kaplan & Co., Securities, Inc. investor protection violation2006$100,000
FCA Corp. investor protection violation2006$25,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
Wall Street Access investor protection violation2006$688,084
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Cantella & Company, Inc. investor protection violation2006$50,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Delaware Service Company, Inc. investor protection violation2006$435,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Senior Resources Asset Fund, LLC investor protection violation2006$3,699,203
Herzog, Heine, Geduld, LLC investor protection violation2006$1,500,000
IFMG Securities, Inc. investor protection violation2006$1,000,000
Weiss Research, Inc investor protection violation2006$1,991,141
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Computershare Trust Company of Canada investor protection violation2006$1,101,868
INET ATS, Inc. investor protection violation2006$350,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
Schultz Investment Advisors, Inc. investor protection violation2005$114,534
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
Renn Capital Group, Inc. investor protection violation2005$2,961,362
Blue River Capital LLC investor protection violation2005$150,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$700,000
International Equity Advisors, LLC investor protection violation2005$3,190,000
Applied Financial Group Inc. investor protection violation2005$50,000
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
Springer Investment Management, Inc.? investor protection violation2005$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
CMS Fund Advisers, Inc. investor protection violation2005$115,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005$40,000
Marketxt, Inc. investor protection violation2005$49,965
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
vFinance Investments, Inc. investor protection violation2005$50,000
Capital Analysts Incorporated investor protection violation2005$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
Colley Asset Management, Inc. investor protection violation2005$100,000
Brean Murray & Co., Inc. investor protection violation2005$150,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
Groh Asset Management, Inc. investor protection violation2004$45,000
Kiely Financial Services, Inc. investor protection violation2004$154,256
Rudney Associates, Inc. investor protection violation2004$62,330
Taglich Brothers, Inc. investor protection violation2004$50,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
JC Management, Inc. investor protection violation2004$27,991
Connecticut Capital Markets, L.L.C. investor protection violation2004$259,110
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004$375,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Fidelity National Capital Investors, Inc. investor protection violation2004$125,000
Freedom Financial, Inc. investor protection violation2004$25,000
David Lerner Associates, Inc. investor protection violation2004$50,000
Nevis Capital Management, LLC investor protection violation2004$1,700,000
Hard Asset Management, Inc. investor protection violation2004$62,439
Celebrity Resorts and Casinos, Inc. investor protection violation2004$347,250
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.