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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
Gilford Securities, Incorporated investor protection violation2011$612,113
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
Fontana Capital, LLC investor protection violation2011$984,790
Brookside Capital, LLC investor protection violation2011$2,124,079
Level Global Investors, L.P. investor protection violation2011$3,244,171
Pegasus Investment Management, LLC investor protection violation2011$95,469
Wunderlich Securities, Inc. investor protection violation2011$532,624
Legend Securities, Inc. investor protection violation2011$50,000
Aristeia Capital, LLC investor protection violation2011$1,762,776
JSK Associates, Inc. investor protection violation2011$60,000
Securities Transfer Corporation investor protection violation2011$10,000
Envision Capital Management, Ltd. investor protection violation2011$100,000
Alpine Woods Capital Investors, LLC investor protection violation2011$650,000
Horseman Capital Management, L.P.? investor protection violation2011$1,484,952
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010$850,000
Gartmore Investment Limited investor protection violation2010$1,347,251
New Castle Funds LLC investor protection violation2010$293,064
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010$200,000
The Buckingham Research Group, Inc. and Buckingham Capital Management investor protection violation2010$125,000
Sands Brothers Asset Management LLC investor protection violation2010$60,000
Ark Asset Management Co., Inc. investor protection violation2010$750,000
Valentine Capital Asset Management, Inc.? investor protection violation2010$432,007
Carlson Capital, L.P. investor protection violation2010$2,653,234
Sierra Financial Advisors, LLC investor protection violation2010$14,599
LACE Financial Corp. investor protection violation2010$20,000
Pinnacle Capital Markets LLC investor protection violation2010$25,000
Spencer International Advisors, Inc. investor protection violation2010$75,000
Appaloosa Management L.P. investor protection violation2010$1,304,523
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010$225,000
Haberman Value Fund, L.P. investor protection violation2010$263,443
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
GPS Partners, LLC investor protection violation2010$1,284,171
Prime Capital Services, Inc. investor protection violation2010$144,262
Warrior Fund LLC investor protection violation2010$221,384
Axiom Capital Management, Inc. investor protection violation2010$60,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$15,000,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018$97,600,000
First Western Advisors investor protection violation2018$202,767
Intertech Solutions, Inc. investor protection violation2018$7,400,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$8,900,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018$4,500,000
NW Capital Markets Inc. investor protection violation2018$87,065
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018$1,900,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018$1,250,000
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$73,200,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018$3,600,000
Alexander Capital L.P. investor protection violation2018$410,987
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018$5,108,441
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018$15,700,000
deVere USA, Inc. investor protection violation2018$8,000,000
Bachrach Asset Management Inc. investor protection violation2018$75,000
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor protection violation2018$75,000
Brahma Management Ltd. investor protection violation2018$75,000
Bristol Group Inc. investor protection violation2018$75,000
CAI Managers & Co. L.P. investor protection violation2018$75,000
Cherokee Investment Partners LLC investor protection violation2018$75,000
Ecosystem Investment Partners LLC investor protection violation2018$75,000
Elm Partners Management LLC investor protection violation2018$75,000
HEP Management Corp. investor protection violation2018$75,000
Prescott General Partners LLC investor protection violation2018$75,000
RLJ Equity Partners LLC investor protection violation2018$75,000
Rose Park Advisors LLC investor protection violation2018$75,000
Veteri Place Corp. investor protection violation2018$75,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
Barcelona Strategies LLC investor protection violation2018$542,120
Visium Asset Management LP investor protection violation2018$10,120,711
Moon River Studios, Inc. investor protection violation2018$1,824,368
Guardians Trustee, LLC investor protection violation2018$179,253
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$2,800,000
Malachi Financial Products, Inc. investor protection violation2018$85,858
Texas Coastal Energy Company investor protection violation2018$7,200,000
Aria Partners GP, LLC investor protection violation2018$150,000
Biltmore Wealth Management, LLC investor protection violation2018$183,043
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018$8,872,723
BKS Advisors LLC investor protection violation2018$75,000
Lockwood Advisors, Incorporated investor protection violation2018$200,000
Hamlin Capital Management, LLC? investor protection violation2018$900,000
Knowledge Leaders Capital, LLC investor protection violation2018$50,000
Sycamore Lane Partners LLC investor protection violation2018$134,042
Beverly Hills Wealth Management, LLC investor protection violation2018$100,000
New Silk Route Advisors, L.P. investor protection violation2018$75,000
Mount Kellett Capital Management LP? investor protection violation2018$160,000
Genesis Associates Limited Partnership investor protection violation2018$50,000
FP Resources USA Inc investor protection violation2018$92,383
Lobster Point Holdings Limited investor protection violation2018$92,383
HBA Advisors, LLC investor protection violation2018$15,000
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018$100,000
EnCap Investments L.P.Encap Investmentsprivate equity (including portfolio companies)investor protection violation2018$500,000
Sofinnova Ventures, Inc. investor protection violation2018$120,000
Romano Brothers & Company investor protection violation2018$15,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018$1,000,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018$1,750,000
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018$8,181,838
THL Managers V, LLC and THL Managers VI, LLC investor protection violation2018$6,506,016
Aisling Capital LLC investor protection violation2018$200,000
Grand Teton Capital Management, LLC? investor protection violation2018$141,443
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
Bayes Capital, LLC investor protection violation2018$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.