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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 TypeYear sort iconPenalty Amount
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
Keyuan Petrochemicals accounting fraud or deficiencies2013$1,000,000
Jim Poe and Associates, Inc. investor protection violation2013$35,000
West Coast Asset Management, Inc. investor protection violation2013$56,186
John Thomas Financial Inc. investor protection violation2013$500,000
Mazuma Corporation et al. investor protection violation2013$1,449,978
Agamas Capital Management, LP investor protection violation2013$250,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013$300,000
Fry Hensley and Company investor protection violation2013$894,657
Ox Trading, LLC, et al. investor protection violation2013$50,000
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013$12,000,000
Manarin Investment Counsel, Ltd., et al. investor protection violation2013$1,052,747
Commonwealth Income & Growth Fund, Inc. investor protection violation2013$367,656
Sarkauskas and Associates, Inc. investor protection violation2013$449,837
North East Capital, LLC investor protection violation2013$346,132
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013$5,547,408
A.R. Schmeidler & Co., Inc. investor protection violation2013$1,011,564
Goelzer Investment Management, Inc.? investor protection violation2013$463,793
Comprehensive Capital Management, Inc. investor protection violation2013$120,000
Rosenberg Rich Baker Berman & Company investor protection violation2013$37,000
UBS O'Connor, LLCUBSfinancial servicesinvestor protection violation2013$5,297,716
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013$10,000,000
Institutional Shareholder Services Inc.Genstar Capitalprivate equity (including portfolio companies)investor protection violation2013$300,000
Noonan Capital Management, LLC investor protection violation2013$104,825
Northern Lights Compliance Services, LLC, et al. investor protection violation2013$50,000
HarborLight Capital Management, LLC? investor protection violation2013$270,615
Foxhall Capital Management, Inc investor protection violation2013$122,430
Banco Comercial Portugues, S.A. investor protection violation2013$1,892,058
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013$2,886,677
Oxford Investment Partners, LLC investor protection violation2013$274,295
Ardsley Advisory Partners investor protection violation2013$815,071
IMC Asset Management, Inc. investor protection violation2013$30,000
Egan-Jones Ratings Company investor protection violation2013$30,000
MiddleCove Capital, LLC investor protection violation2013$788,118
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014$12,500,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$7,650,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$15,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014$5,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014$275,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014$25,000,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014$196,000,000
Avon ProductsLGdiversifiedForeign Corrupt Practices Act2014$67,400,000
Bruker CorporationBrukermiscellaneous manufacturingForeign Corrupt Practices Act2014$2,400,000
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014$40,700,000
Layne Christensen Company Foreign Corrupt Practices Act2014$5,100,000
Smith & Wesson Holding CorporationSmith & Wessonmiscellaneous manufacturingForeign Corrupt Practices Act2014$2,000,000
Hewlett-PackardHP Inc.electrical and electronic equipmentForeign Corrupt Practices Act2014$31,500,000
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
F-Squared Investments investor protection violation2014$35,000,000
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014$84,101
Canadian Solar Inc. accounting fraud or deficiencies2014$500,000
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014$55,000
OUM & Co. accounting fraud or deficiencies2014$10,000
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014$30,000
BKD LLP accounting fraud or deficiencies2014$15,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014$200,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
APT MotoVox Group Inc. investor protection violation2014$25,000
CoroWare Inc. investor protection violation2014$25,000
ERF Wireless Inc. investor protection violation2014$50,000
Green Automotive Company investor protection violation2014$50,000
MineralRite Corporation investor protection violation2014$25,000
Mondial Ventures Inc. investor protection violation2014$50,000
Monster Arts Inc. investor protection violation2014$25,000
Red Giant Entertainment Inc. investor protection violation2014$25,000
Seaniemac International Ltd. investor protection violation2014$50,000
Worthington Energy Inc. investor protection violation2014$25,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
Hapoalim Securities USA investor protection violation2014$54,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
Lebenthal & Co. investor protection violation2014$54,000
National Securities Corporation investor protection violation2014$60,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Riedl First Securities Co. of Kansas investor protection violation2014$130,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014$150,000
Berman & Co. P.A. accounting fraud or deficiencies2014$15,000
OTC Solutions LLC investor protection violation2014$373,239
Athena Capital Research investor protection violation2014$1,000,000
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014$750,000
Tradebot Systems Inc. investor protection violation2014$50,000
Saba Software accounting fraud or deficiencies2014$1,750,000
Lincolnshire Management investor protection violation2014$2,300,000
Strategic Capital Group LLC investor protection violation2014$586,290
Latour Trading LLC investor protection violation2014$16,000,000
Advent Capital Management investor protection violation2014$144,128
Antipodean Advisors investor protection violation2014$93,672
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
East Side Holdings II investor protection violation2014$157,010
Explorador Capital Management investor protection violation2014$155,658
Formula Growth investor protection violation2014$111,743
Great Point Partners investor protection violation2014$109,597
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.