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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 Industry sort iconPrimary Offense TypeYearPenalty Amount
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
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
Hapoalim Securities USA investor protection violation2014$54,000
Lebenthal & Co. investor protection violation2014$54,000
National Securities Corporation investor protection violation2014$60,000
Riedl First Securities Co. of Kansas investor protection violation2014$130,000
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
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
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
Indaba Capital Management investor protection violation2014$304,185
Ironman Capital Management investor protection violation2014$87,226
Midwood Capital Management investor protection violation2014$142,947
RA Capital Management investor protection violation2014$3,624,359
Rockwood Investment Management investor protection violation2014$237,988
Seawolf Capital investor protection violation2014$296,937
Solus Alternative Asset Management investor protection violation2014$105,495
SuttonBrook Capital Management investor protection violation2014$70,000
Troubh Partners investor protection violation2014$408,710
Vinci Partners Investimentos investor protection violation2014$448,707
Whitebox Advisors investor protection violation2014$1,202,924
AgFeed Industries accounting fraud or deficiencies2014$18,000,000
Advanced Cell Technology investor protection violation2014$375,000
Linkbrokers Derivatives LLC investor protection violation2014$14,000,000
AIC Inc. investor protection violation2014$66,760,521
OM Investment Management accounting fraud or deficiencies2014$1,729,800
AutoChina International Limited accounting fraud or deficiencies2014$4,350,000
TL Ventures Inc illicit political contributions2014$294,894
Liquidnet Inc. investor protection violation2014$2,000,000
Rafferty Capital Markets investor protection violation2014$849,626
Empire Stock Transfer Inc. investor protection violation2014$50,000
Redfin Network Inc. accounting fraud or deficiencies2014$19,480
A Chicago Convention Center, LLC and Intercontinental Regional Center Trust of Chicago, LLC investor protection violation2014$12,950,000
Belmont Partners LLC accounting fraud or deficiencies2014$224,500
Apple Six Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Seven Advisors Inc. accounting fraud or deficiencies2014$375,000
Apple Eight Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Nine Advisors Inc. accounting fraud or deficiencies2014$250,000
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
Instinet LLC investor protection violation2013$813,280
GLG Partners L.P. accounting fraud or deficiencies2013$8,954,346
Sherb & Co. LLP accounting fraud or deficiencies2013$75,000
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
Patrizio & Zhao LLC accounting fraud or deficiencies2013$30,000
Universal Travel Group accounting fraud or deficiencies2013$750,000
Blackthorn Investment Group investor protection violation2013$520,207
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.