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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
Liquidnet Inc. investor protection violation2014$2,000,000
Rafferty Capital Markets investor protection violation2014$849,626
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014$4,500,000
Empire Stock Transfer Inc. investor protection violation2014$50,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014$12,950,000
CITIC Securities International Investment Management (HK) Limited investor protection violation2014$6,600,000
China Shenghai Investment Management Limited investor protection violation2014$4,300,000
Onyx Capital Advisors investor protection violation2014$9,100,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
Instinet LLC investor protection violation2013$813,280
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013$20,000
Milan Group Inc. investor protection violation2013$4,141,148
Further Lane Asset Management investor protection violation2013$150,000
Knelman Asset Management Group investor protection violation2013$60,000
GW & Wade investor protection violation2013$250,000
Modern Portfolio Management Inc. investor protection violation2013$175,000
Equitas Capital Advisers LLC investor protection violation2013$225,000
ChinaMedia Express Holdings investor protection violation2013$41,144,082
Petro-Suisse Ltd. investor protection violation2013$8,370,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
Blackthorn Investment Group investor protection violation2013$520,207
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Credentia Group investor protection violation2013$69,204
D.E. Shaw & Co. investor protection violation2013$667,492
Deerfield Management Company investor protection violation2013$1,902,224
Hudson Bay Capital Management investor protection violation2013$949,453
JGP Global Gestao de Recursos investor protection violation2013$3,180,424
M.S. Junior and Swiss Capital Holdings investor protection violation2013$427,936
Manikay Partners investor protection violation2013$2,551,791
Meru Capital Group investor protection violation2013$398,512
Merus Capital Partners investor protection violation2013$73,465
Ontario Teachers' Pension Plan Board investor protection violation2013$224,835
Pan Capital AB investor protection violation2013$662,497
PEAK6 Capital Management investor protection violation2013$132,217
Philadelphia Financial Management of San Francisco investor protection violation2013$219,443
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management investor protection violation2013$282,720
Soundpost Partners investor protection violation2013$113,315
Southpoint Capital Advisors investor protection violation2013$534,757
Talkot Capital investor protection violation2013$84,537
Vollero Beach Capital Partners investor protection violation2013$864,427
War Chest Capital Partners investor protection violation2013$327,569
Western Standard investor protection violation2013$111,807
City Securities Corporation investor protection violation2013$580,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
Level Global Investors LP investor protection violation2013$21,514,274
211 Ventures LLC investor protection violation2013$2,300,000
Sigma Capital Management investor protection violation2013$13,944,000
CR Intrinsic Investors investor protection violation2013$601,747,463
J.C. Reed & Co. investor protection violation2013$14,910,003
Ranieri Partners investor protection violation2013$375,000
Fiduciary Asset Management LLC investor protection violation2012$2,859,858
BPBPoil and gasinvestor protection violation2012$525,000,000
Well Advantage investor protection violation2012$14,245,266
eBX LLC investor protection violation2012$800,000
Hold Brothers On-Line Investment Services investor protection violation2012$2,535,000
Advanced Equities Inc investor protection violation2012$1,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
ICP Asset Management investor protection violation2012$18,275,033
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012$100,000
Focus Point Solutions and The H Group investor protection violation2012$1,100,000
Clay Capital Management LLC investor protection violation2012$850,000
FalconStor Software, Inc. investor protection violation2012$2,900,000
AMMB Consultant Sendirian Berhad investor protection violation2012$1,550,000
New Futures Trading International Corporation investor protection violation2012$1,433,889
Global Development & Environmental Resources, Inc. investor protection violation2012$2,645,798
Martin Currie investor protection violation2012$8,300,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012$1,817,277
Pentagon Capital Management investor protection violation2012$98,600,000
United American Ventures, LLC investor protection violation2012$9,079,372
Diamondback Capital Management LLC investor protection violation2012$9,000,000
Drake Asset Management LLC investor protection violation2011$175,000
Banco Espirito Santo S.A. investor protection violation2011$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011$750,000
Wall Street Capital Funding LLC investor protection violation2011$300,000
Locke Capital Management Inc. investor protection violation2011$3,673,996
Onele Trading & Finance Ltd. investor protection violation2011$5,729,276
Aerokinetic Energy Corporation investor protection violation2011$859,571
LandOak Securities LLC investor protection violation2011$992,140
Navigators International Management Co., Ltd. investor protection violation2011$45,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
Enzyme Environmental Solutions, Inc. investor protection violation2011$371,135
Winning Kids Inc. investor protection violation2010$2,183,964
Berkshire Resources, L.L.C. investor protection violation2010$16,255,846
Prime Time Group Inc. investor protection violation2010$325,000
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010$1,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
ASMAC Financial, Inc. investor protection violation2010$133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010$12,574,582
Thompson Consulting Inc. investor protection violation2010$400,000
Pequot Capital Management, Inc. investor protection violation2010$28,000,000
CFO-5 LLC investor protection violation2010$3,197,222
Presstek Inc. investor protection violation2010$400,000
First Allied Securities, Inc. investor protection violation2010$1,950,000
Wealth Management LLC investor protection violation2010$1,471,002
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
AGB Partners LLC investor protection violation2010$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.