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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
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
Bayes Capital, LLC investor protection violation2018$300,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. investor protection violation2018$8,000,000
Lyxor Asset Management, Inc. investor protection violation2018$500,000
Manhattan Transfer Registrar Company investor protection violation2018$52,493
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018$33,848
SanofiSanofipharmaceuticalsForeign Corrupt Practices Act2018$25,200,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018$1,900,000
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Vantage Drilling International Foreign Corrupt Practices Act2018$5,000,000
CarrierEQ Inc. (Airfox) investor protection violation2018$250,000
Paragon Coin Inc. investor protection violation2018$250,000
ITG Inc. investor protection violation2018$12,000,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018$38,700,000
Tesla Inc.Tesla Inc.motor vehiclesinvestor protection violation2018$20,000,000
COR Clearing LLC data submission deficiencies2018$800,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018$5,000,000
Stryker Corp.Strykermedical equipment and suppliesForeign Corrupt Practices Act2018$7,800,000
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018$34,500,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018$1,000,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018$800,000
CMB Export LLC investor protection violation2018$5,150,000
Cardiff Lexington Corporation investor protection violation2018$25,000
Cool Technologies Inc. investor protection violation2018$75,000
Dasan Zhone Solutions Inc. investor protection violation2018$50,000
First Hartford Corporation investor protection violation2018$50,000
Infrax Systems Inc. investor protection violation2018$50,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018$1,500,000
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018$20,000,000
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018$4,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2018$12,937,475
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018$2,750,000
United Technologies CorporationRTX Corporationaerospace and military contractingForeign Corrupt Practices Act2018$13,900,000
Crypto Asset Management LP investor protection violation2018$200,000
TokenLot LLC investor protection violation2018$478,929
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018$513,194
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018$1,500,000
NW Capital Markets Inc. investor protection violation2018$87,065
TelexElectric, LLLP investor protection violation2018$2,022,239
Telex Mobile Holdings, Inc. investor protection violation2018$500,870
FX & Beyond Corporation investor protection violation2018$1,392,656
Hope Advisors, LLC investor protection violation2018$1,487,235
WealthCFO, LLC investor protection violation2018$409,405
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Pennant Management, Inc. investor protection violation2018$400,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
Hudson Housing Capital LLC investor protection violation2018$65,000
Lichter, Yu and Associates, Inc., et al.? investor protection violation2018$64,900
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
Ophrys, LLC investor protection violation2018$500,000
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018$200,000
Eric Hall & Associates, LLC investor protection violation2018$54,761
Creative Planning, Inc. investor protection violation2018$200,000
Abtech Holdings, Inc.? investor protection violation2018$133,414
Cushing Asset Management, LP investor protection violation2018$100,000
Capital Analysts, LLC investor protection violation2018$1,820,349
Holthouse Carlin & Van Trigt LLP? investor protection violation2018$300,000
Harbour Investments, Inc. investor protection violation2018$241,479
Crypto Asset Management, LP investor protection violation2018$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018$100,000
VSS Fund Management LLC investor protection violation2018$200,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018$135,100,000
American Portfolios Advisers Inc. investor protection violation2018$1,145,353
PPS Advisors Inc. investor protection violation2018$706,746
Crowe LLP accounting fraud or deficiencies2018$1,500,000
Wealthfront Advisers LLC investor protection violation2018$250,000
Hedgeable Inc. investor protection violation2018$80,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018$54,000,000
America Modern Green Senior (Houston) LLC, America Modern Green Community (Houston) LLC, and America Modern Green Residential (Houston) LLC investor protection violation2018$51,400,000
Agria Corporation accounting fraud or deficiencies2018$3,000,000
Citadel Securities LLC investor protection violation2018$3,500,000
Natixis Securities Americas LLC investor protection violation2018$1,250,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018$1,400,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018$16,000,000
Polycom, Inc.Plantronicsmiscellaneous manufacturingForeign Corrupt Practices Act2018$3,800,000
Centrais Eletricas Brasileiras S.A.? Foreign Corrupt Practices Act2018$2,500,000
ADT Inc.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2018$100,000
Lightyear Capital LLC investor protection violation2018$400,000
BioElectronics, Corp. investor protection violation2018$191,640
Thoroughbred Financial Services, LLC investor protection violation2018$1,108,618
Sterling Global Strategies LLC investor protection violation2018$175,000
Ancora Advisors LLC investor protection violation2018$100,000
NB Alternatives Advisers LLC investor protection violation2018$2,733,608
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018$5,000,000
Yucaipa Master Manager, LLC investor protection violation2018$2,934,312
Landaas & Company investor protection violation2018$598,941
Frontier Oilfield Services, Inc. investor protection violation2018$25,000
CoinAlpha Advisors LLC investor protection violation2018$50,000
Fifth Street Management, LLC investor protection violation2018$3,983,660
Adams Capital Management investor protection violation2017$45,000
Aisling Capital investor protection violation2017$70,456
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017$15,000,000
Alta Communications investor protection violation2017$35,000
Commonwealth Venture Management Corporation investor protection violation2017$75,000
Cypress Advisors investor protection violation2017$35,000
FFL Partners investor protection violation2017$75,000
Lime Rock Management investor protection violation2017$75,000
NGN Capital investor protection violation2017$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.