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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
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
M Holdings Securities, Inc. investor protection violation2019$1,022,048
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019$1,005,194
D.A. Davidson & Co. investor protection violation2019$654,276
Trustcore Financial Services, LLC investor protection violation2019$422,261
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019$6,037,175
Spire Wealth Mangement, LLC investor protection violation2019$594,072
Lockwood Advisors, Inc. investor protection violation2019$52,187
Kestra Private Wealth Services, LLC investor protection violation2019$549,003
Kestra Advisory Services, LLC investor protection violation2019$6,196,279
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019$241,227
Hazlett and Burt & Watson, Inc. investor protection violation2019$123,456
Coastal Investment Advisors, Inc. investor protection violation2019$76,144
Syndicated Capital, Inc. investor protection violation2019$38,991
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019$49,162
Silversage Advisors investor protection violation2019$342,062
Private Portfolio, Inc. investor protection violation2019$43,061
PlanMember Securities Corporation investor protection violation2019$3,550,660
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$296,750
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$1,134,152
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019$1,171,028
Popular Securities, LLC investor protection violation2019$544,577
NBC Securities, Inc. investor protection violation2019$426,119
Kovack Advisors, Inc. investor protection violation2019$898,781
Calton & Associates, Inc. investor protection violation2019$305,044
Benchmark Capital Advisors LLC investor protection violation2019$45,182
Summit Financial Group, Inc. investor protection violation2019$1,032,702
Northeast Asset Management, LLC investor protection violation2019$150,982
EFG Asset Management (Americas) Corp. investor protection violation2019$62,505
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
Provise Management Group, LLC investor protection violation2019$297,423
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$1,405,349
MIAI, Inc. investor protection violation2019$488,579
First Kentucky Securities Corporation investor protection violation2019$132,651
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
Client One Securities, LLC investor protection violation2019$35,275
National Asset Management, Inc. investor protection violation2019$733,423
Investment Research Corp investor protection violation2019$33,188
First National Capital Markets, Inc. investor protection violation2019$138,117
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019$3,389,174
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019$1,764,624
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019$458,082
L.M. Kohn & Company investor protection violation2019$586,882
Benjamin F. Edwards & Co., Inc. investor protection violation2019$3,445,264
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019$6,023,072
The Huntington Investment Company investor protection violation2019$207,946
Robert W. Baird & Co. Incorporated investor protection violation2019$4,149,167
Questar Asset Management, Inc. investor protection violation2019$527,566
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2019$925,023
Hefren-Tilotson, Inc. investor protection violation2019$371,697
Financial Management Strategies, Inc. investor protection violation2019$185,083
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019$186,377
Cambridge Investment Research Advisors, Inc. investor protection violation2019$6,187,562
Blyth & Associates, Inc. investor protection violation2019$103,071
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019$270,539
Ryan Financial Advisors, Inc. investor protection violation2019$258,670
Park Avenue Securities LLC investor protection violation2019$564,267
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$3,528,377
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$9,333,516
Investmark Advisory Group LLC investor protection violation2019$103,107
Investacorp Advisory Services, Inc. investor protection violation2019$481,608
Infinex Investments, Inc. investor protection violation2019$978,698
Commonwealth Equity Services, LLC investor protection violation2019$1,637,303
Cantella & Co., Inc. investor protection violation2019$919,597
Beacon Investment Management LLC investor protection violation2019$165,848
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019$2,395,722
SSN Advisory, Inc. investor protection violation2019$1,666,950
SA Stone Investment Advisors Inc. investor protection violation2019$687,374
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$6,877,048
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019$1,852,383
First Citizens Investor Services, Inc. investor protection violation2019$402,665
First Citizens Asset Management, Inc. investor protection violation2019$62,418
DLL CPAS, LLC investor protection violation2019$51,387
Katz, Sapper & Miller, LLP investor protection violation2019$101,834
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018$16,000,000
ADT Inc.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2018$100,000
Lightyear Capital LLC investor protection violation2018$400,000
BioElectronics, Corp. investor protection violation2018$191,640
Thoroughbred Financial Services, LLC investor protection violation2018$1,108,618
Sterling Global Strategies LLC investor protection violation2018$175,000
Ancora Advisors LLC investor protection violation2018$100,000
NB Alternatives Advisers LLC investor protection violation2018$2,733,608
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018$5,000,000
Yucaipa Master Manager, LLC investor protection violation2018$2,934,312
Landaas & Company investor protection violation2018$598,941
Frontier Oilfield Services, Inc. investor protection violation2018$25,000
CoinAlpha Advisors LLC investor protection violation2018$50,000
Fifth Street Management, LLC investor protection violation2018$3,983,660
Spark Trading Group LLC investor protection violation2019$694,915
Deer Park Road Management Company LP investor protection violation2019$5,000,000
Wilson-Davis & Co., Inc. investor protection violation2019$300,000
Corinthian Capital Group, LLC investor protection violation2019$100,000
GT Advanced Technologies Inc. investor protection violation2019$140,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019$500,000
Charter Capital Management, LLC investor protection violation2019$40,000
ZBS Group LLP investor protection violation2019$48,461
Clear Scope Advisors, Inc. investor protection violation2019$25,678
Mutual Coin Fund LLC investor protection violation2019$10,000
Sweetwater Investments, Inc. investor protection violation2019$1,164,747
Tiber Creek Corp. investor protection violation2019$209,797
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.