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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
Tiber Creek Corp. investor protection violation2019$209,797
Account Management LLC investor protection violation2019$100,000
AOC Securities LLC investor protection violation2019$250,000
AR Capital LLC investor protection violation2019$53,000,000
Bitqyck Inc. investor protection violation2019$8,375,617
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019$3,946,000
Canaccord Genuity LLC investor protection violation2019$250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$647,000
Dale Scott & Company, Inc. investor protection violation2019$25,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019$19,390,352
EMS Capital LP investor protection violation2019$317,415
Equal Earth, Inc. investor protection violation2019$7,655,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019$100,000,000
Fieldstone Financial Management Group LLC investor protection violation2019$1,322,971
Financial Sherpa, Inc. investor protection violation2019$436,861
Foundations Asset Management, LLC investor protection violation2019$363,947
Guaranteed Investigations, Inc. investor protection violation2019$16,846
ICO Rating investor protection violation2019$268,998
IFS Securities investor protection violation2019$50,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019$42,700,000
Laurel Wealth Advisors, Inc. investor protection violation2019$100,000
Lefavi Wealth Management, Inc. investor protection violation2019$1,288,735
Mosaic Capital, LLC investor protection violation2019$250,000
MVP Manager LLC investor protection violation2019$249,739
Nomura Securities International Inc.Nomurafinancial servicesinvestor protection violation2019$26,400,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019$400,000
School Services of California, Inc. investor protection violation2019$10,000
Spring Hill Capital Markets, LLC, et al. investor protection violation2019$485,803
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019$88,780,000
The Options Clearing Corporation investor protection violation2019$15,000,000
The Parrish Group, LLC investor protection violation2019$184,767
TherapeuticsMD Inc. investor protection violation2019$200,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$8,100,000
Channing Capital Management, LLC investor protection violation2019$50,000
Portfolio Advisors Alliance investor protection violation2019$1,259,721
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$1,545,758
Golden California Regional Center, LLC investor protection violation2019$50,295,232
Capital Source Lending LLC investor protection violation2019$5,720,451
XBT Corp Sarl dba First Global Credit investor protection violation2019$131,952
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019$500,000
Northwest Biotherapeutics, Inc. investor protection violation2019$250,000
Lek Securities Corp. investor protection violation2019$1,525,892
PlexCorps investor protection violation2019$4,911,613
Block.one investor protection violation2019$24,000,000
Bill Few Associates Inc. investor protection violation2019$2,398,304
Cargile Investment Management Inc. investor protection violation2019$70,140
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Equity Services Inc. investor protection violation2019$587,017
Essex Financial Services Inc. investor protection violation2019$645,000
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019$59,478
Henley & Company Wealth Management LLC investor protection violation2019$36,866
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
IC Advisory Services Inc. investor protection violation2019$1,195,186
Independent Financial Group LLC investor protection violation2019$1,426,150
Investment Partners Ltd. investor protection violation2019$43,384
IPG Investment Advisors LLC investor protection violation2019$85,294
Michigan Advisors Inc. investor protection violation2019$327,976
Saxony Capital Management LLC investor protection violation2019$230,220
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
Founders Financial Securities, LLC investor protection violation2019$1,475,465
Outset Global LLP investor protection violation2019$207,409
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
Nebulous, Inc. investor protection violation2019$224,601
Mid Atlantic Financial Management, Inc. investor protection violation2019$300,000
Longfin Corp. investor protection violation2019$6,755,848
Cutting Edge Business Services, Inc. investor protection violation2019$273,336
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$37,980,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019$30,000,000
Omgeo Matching Services US, LLC investor protection violation2019$2,000,000
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019$4,300,000
Harding Advisory LLC investor protection violation2019$850,000
Pinnacle Companies, LLC investor protection violation2019$1,112,000
Three Bridge Wealth Advisors, LLC investor protection violation2019$60,000
Amadeus Wealth Advisors, LLC investor protection violation2019$40,000
ECP Manager LP investor protection violation2019$122,656
BrixInvest, LLC investor protection violation2019$300,000
Cetera Investment Advisers LLC investor protection violation2019$185,000
Hefren-Tillotson, Inc. investor protection violation2019$379,965
Strong Investment Management investor protection violation2019$1,061,157
Strategic Planning Group, Inc. investor protection violation2019$200,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019$7,944,055
HCR Wealth Advisors investor protection violation2019$220,000
The Bancorp, Inc. investor protection violation2019$1,400,000
Sigma Planning Corp. investor protection violation2019$2,546,718
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019$2,700,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$1,950,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019$32,600,000
Vandham Securities Corp. investor protection violation2019$200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC investor protection violation2019$250,000
ED Capital Management, LLC investor protection violation2019$75,000
Bio Defense Corp. investor protection violation2019$37,475,717
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020$35,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Enigma MPC investor protection violation2020$500,000
Diageo plcDiageobeveragesinvestor protection violation2020$5,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020$586,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019$10,000,000
Blockchain of Things Inc. investor protection violation2019$250,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.