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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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 TypeYearPenalty Amount sort icon
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
Brookside Capital, LLC investor protection violation2011$2,124,079
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
The Gaming Factory, Inc. investor protection violation2003$2,100,102
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015$2,100,000
TMC Bonds LLC privacy violation2019$2,100,000
GMC Holding Corporation investor protection violation2009$2,090,000
Equitec Proprietary Markets, LLC investor protection violation2009$2,080,000
ShipChain, Inc. investor protection violation2020$2,050,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
2 West, Inc., et al. investor protection violation2016$2,025,179
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020$2,022,500
TelexElectric, LLLP investor protection violation2018$2,022,239
Galleon Management, L.P. investor protection violation2005$2,020,450
Kroll Bond Rating Agency Inc. investor protection violation2020$2,010,000
AirTrac Inc. investor protection violation2008$2,005,401
Smith & Wesson Holding CorporationSmith & Wessonmiscellaneous manufacturingForeign Corrupt Practices Act2014$2,000,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2012$2,000,000
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016$2,000,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016$2,000,000
Liquidnet Inc. investor protection violation2014$2,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
National Clearing Corporation investor protection violation2006$2,000,000
Zomax Inc. insider trading2005$2,000,000
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$2,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003$2,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Baron Capital, Inc. investor protection violation2003$2,000,000
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019$2,000,000
Omgeo Matching Services US, LLC investor protection violation2019$2,000,000
American Renal Associates Holdings, Inc. investor protection violation2021$2,000,000
Surgalign Holdings, Inc. investor protection violation2022$2,000,000
Gaia Inc. investor protection violation2023$2,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
Weiss Research, Inc investor protection violation2006$1,991,141
Lazare Industries, Inc. investor protection violation2008$1,975,911
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023$1,975,000
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021$1,957,053
First Allied Securities, Inc. investor protection violation2010$1,950,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$1,950,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$1,926,579
St. Germain Investment Management, Inc. investor protection violation2021$1,925,250
Deerfield Management Company investor protection violation2013$1,902,224
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018$1,900,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018$1,900,000
CohnReznick LLP accounting fraud or deficiencies2022$1,900,000
YieldStreet Inc. investor protection violation2023$1,900,000
Moors & Cabot, Inc. investor protection violation2023$1,899,456
Foresight Wealth Management, LLC investor protection violation2023$1,893,486
Banco Comercial Portugues, S.A. investor protection violation2013$1,892,058
FTN Financial Securities Corp. investor protection violation2011$1,873,636
Virtua Capital Management, LLC investor protection violation2022$1,864,089
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019$1,852,383
Winslow and Evans & Crocker, Inc. investor protection violation2021$1,851,787
Egan-Jones Ratings Company investor protection violation2022$1,846,000
Ace Payday Plus, LLC investor protection violation2004$1,842,133
Capital Cove Bancorp LLC investor protection violation2018$1,829,868
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022$1,825,953
Moon River Studios, Inc. investor protection violation2018$1,824,368
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$1,822,438
Capital Analysts, LLC investor protection violation2018$1,820,349
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012$1,817,277
Geneos Wealth Management Inc. investor protection violation2018$1,808,121
Group One Trading, L.P. investor protection violation2009$1,800,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd. investor protection violation2007$1,795,000
Tradition Securities and Derivatives, LLC investor protection violation2021$1,787,459
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019$1,764,624
Aristeia Capital, LLC investor protection violation2011$1,762,776
Marrone Bio Innovations accounting fraud or deficiencies2016$1,750,000
Saba Software accounting fraud or deficiencies2014$1,750,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018$1,750,000
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$1,750,000
The Bancorp, Inc. investor protection violation2022$1,750,000
Angel Oak Capital Advisors, LLC investor protection violation2022$1,750,000
Van Eck Associates Corporation investor protection violation2024$1,750,000
OM Investment Management accounting fraud or deficiencies2014$1,729,800
Train, Babcock Advisors LLC investor protection violation2017$1,700,725
EZTD Inc. investor protection violation2016$1,700,000
Nevis Capital Management, LLC investor protection violation2004$1,700,000
Gilder Gagnon Howe & Co. LLC investor protection violation2020$1,700,000
Power Solutions International Inc. accounting fraud or deficiencies2020$1,700,000
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016$1,667,720
SSN Advisory, Inc. investor protection violation2019$1,666,950
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002$1,650,000
Future Fintech Group Inc. investor protection violation2023$1,650,000
Commonwealth Equity Services, LLC investor protection violation2019$1,637,303
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012$1,625,000
Aladdin Capital Management LLC investor protection violation2012$1,618,831
One Touch Marketing, Inc. fraud2004$1,608,102
Rockwell Capital Management investor protection violation2024$1,602,089
Comverse Technology Inc. Foreign Corrupt Practices Act2011$1,600,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016$1,600,000
National Institute Companies of America, Inc. investor protection violation2004$1,600,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.