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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
Oxford City Football Club, Inc. investor protection violation2017$6,853,358
Hold Brothers Online Investment Services, LLC investor protection violation2017$707,764
TeamVinh.com LLC investor protection violation2017$2,681,072
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017$193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation investor protection violation2017$50,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017$97,037,659
Verto Capital Management investor protection violation2017$4,158,517
Enviso Capital LLC investor protection violation2017$50,000
Ascenergy LLC investor protection violation2017$6,859,690
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017$35,300,000
7S Oil & Gas, LLC investor protection violation2017$750,000
Petroforce Energy, LLC investor protection violation2017$300,000
Green Tree Investment Group investor protection violation2017$770,356
Millennium Management LLC investor protection violation2017$630,000
Augustine Capital Management LLC investor protection violation2017$878,305
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017$4,100,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017$1,100,000
Deerfield Management Company L.P. investor protection violation2017$4,600,000
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017$340,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017$100,937
Capital Financial Partners, LLC et al. investor protection violation2017$15,700,000
Credit Karma, Inc. investor protection violation2018$160,000
Valor Capital Asset Management, LLC investor protection violation2018$715,871
Financial Fiduciaries, LLC investor protection violation2018$40,000
Equitystar Capital Management, LLC investor protection violation2018$2,890,518
Dynamic Intelligence, Inc. investor protection violation2018$228,552
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,304,197
Americafirst Capital Management, LLC investor protection violation2018$50,000
Gemini Fund Services, LLC investor protection violation2018$400,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$1,250,000
LKL Investment Counsel LLC investor protection violation2018$100,000
Train, Babcock Advisors LLC investor protection violation2017$1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management investor protection violation2017$50,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017$12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017$536,886
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017$80,000
Horter Investment Management, LLC investor protection violation2017$778,804
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017$8,750,000
Institutional Investor Advisers, Inc. investor protection violation2017$200,000
Brahman Capital Corp. investor protection violation2017$250,000
Gray Financial Group, Inc. investor protection violation2017$401,298
Millennium Management LLC investor protection violation2017$638,709
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017$3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
Canterbury Consulting, Inc. investor protection violation2017$172,986
Loop Capital Markets, LLC investor protection violation2017$25,000
Success Holding Group International, Inc. investor protection violation2017$139,737
SIX Financial Information USA Inc. investor protection violation2017$107,707
LBMZ Securities, Inc. investor protection violation2017$240,000
VisionPoint Advisory Group, LLC investor protection violation2017$45,000
360 Financial, Inc. investor protection violation2017$40,000
TRH Financial LLC investor protection violation2017$35,000
Sagent Wealth Management, LLC investor protection violation2017$181,110
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017$3,402,132
Howarth Financial Services, LLC investor protection violation2017$203,444
JL Capital Management investor protection violation2017$278,289
Potomac Asset Management Company, Inc investor protection violation2017$300,000
Envoy Advisory, Inc. investor protection violation2017$51,892
Municipal Finance Services, Inc. investor protection violation2017$50,000
O'Connor & Company Securities, Inc. investor protection violation2017$150,000
Vertical Capital Asset Management, LLC investor protection violation2017$9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017$4,400,000
Institutional Investors Advisory Company investor protection violation2017$843,187
Capital Dynamics, Inc. investor protection violation2017$275,000
Coachman Energy Partners LLC investor protection violation2017$941,507
Cadaret and Grant & Co., Inc. investor protection violation2017$3,048,000
Columbia River Advisors, LLC investor protection violation2017$80,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$200,000
Bradway Financial, LLC and Bradway Capital Management, LLC investor protection violation2017$150,000
Umbrella Research, LLC investor protection violation2017$16,676
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017$552,086
Paramount Group Real Estate Advisor LLC investor protection violation2017$250,000
Landwin Management, LLC investor protection violation2017$75,000
Bantry Bay Capital, LLC investor protection violation2017$100,000
Resilience Management, LLC investor protection violation2017$250,000
Wm Smith & Co. investor protection violation2017$50,000
Bonwick Capital Partners, LLC investor protection violation2017$50,000
New York REIT, Inc. and New York Recovery Advisors, LLC investor protection violation2017$165,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$10,000
Tellone Management Group, Inc. investor protection violation2017$75,000
Calvert Investment Distributors, Inc. and Calvert Investment Management, Inc. investor protection violation2017$22,614,534
William Blair & Company, L.L.C. investor protection violation2017$4,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017$12,710,040
Lebenthal & Co., LLC investor protection violation2017$150,000
Wilson-Davis & Company, Inc. investor protection violation2017$310,713
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017$1,500,000
Cytrx CorporationCytRxpharmaceuticalsinvestor protection violation2017$75,000
Lion Biotechnologies, Inc. investor protection violation2017$100,000
Lawson Financial Corporation investor protection violation2017$396,652
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017$5,754,714
Cygs, LLC investor protection violation2017$60,879
Covenant Financial Services, LLC investor protection violation2017$144,845
Louis Capital Markets, LP investor protection violation2017$2,500,000
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017$500,000
MKJJ Consulting LLC investor protection violation2017$2,973,916
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017$300,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017$3,095,953
Angel Oak Capital Partners, LLC investor protection violation2017$3,666,370
Lone Star Value Management and Heartland Advisors investor protection violation2017$300,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017$250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.