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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 TypeYearPenalty Amount sort icon
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004$375,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023$375,000
Comprehensive Capital Management, Inc. investor protection violation2022$375,654
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
Sica Wealth Management, LLC investor protection violation2020$378,693
Hefren-Tillotson, Inc. investor protection violation2019$379,965
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
Quogue Capital LLC investor protection violation2008$390,000
Crestview Capital Partners investor protection violation2007$394,640
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Lawson Financial Corporation investor protection violation2017$396,652
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
Wealth Plus, Inc. investor protection violation2022$398,232
Meru Capital Group investor protection violation2013$398,512
Talimco, LLC investor protection violation2019$399,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Stephens Inc. investor protection violation2015$400,000
Thompson Consulting Inc. investor protection violation2010$400,000
Presstek Inc. investor protection violation2010$400,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004$400,000
Moret Ernst & Young Accountants accounting fraud or deficiencies2002$400,000
Port Authority of New York and New Jersey investor protection violation2017$400,000
Gemini Fund Services, LLC investor protection violation2018$400,000
Equinox Fund Management, LLC investor protection violation2016$400,000
Houston American Energy Corp. investor protection violation2015$400,000
Pennant Management, Inc. investor protection violation2018$400,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001$400,000
Lightyear Capital LLC investor protection violation2018$400,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019$400,000
RCI Hospitality Holdings, Inc. investor protection violation2020$400,000
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022$400,000
IFP Advisors, LLC investor protection violation2022$400,000
PIC Renegade Properties, LLC investor protection violation2022$400,000
Grenda Group, LLC investor protection violation2024$400,000
Gray Financial Group, Inc. investor protection violation2017$401,298
Grassi & Co., CPAs and P.C. investor protection violation2016$401,510
First Citizens Investor Services, Inc. investor protection violation2019$402,665
Island Capital Management LLC, d/b/a Island Stock Transfer investor protection violation2022$404,394
Bancwest Investment Services, Inc. investor protection violation2020$406,432
Troubh Partners investor protection violation2014$408,710
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$408,931
WealthCFO, LLC investor protection violation2018$409,405
ARRG Corp. investor protection violation2016$410,753
Alexander Capital L.P. investor protection violation2018$410,987
Legendary Partners, LLC investor protection violation2023$412,542
New America High Income Fund, Inc. investor protection violation2012$413,399
GreneCo, LLC investor protection violation2022$414,364
JP Turner & Company, LLC investor protection violation2012$416,051
Cozad Asset Management, Inc. investor protection violation2020$416,870
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2015$420,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015$420,000
Trustcore Financial Services, LLC investor protection violation2019$422,261
Pacific Growth Equities, LLC investor protection violation2007$425,000
TradeStation Securities, Inc. investor protection violation2022$425,000
NBC Securities, Inc. investor protection violation2019$426,119
M.S. Junior and Swiss Capital Holdings investor protection violation2013$427,936
Valentine Capital Asset Management, Inc.? investor protection violation2010$432,007
Delaware Service Company, Inc. investor protection violation2006$435,000
Financial Sherpa, Inc. investor protection violation2019$436,861
Apple Six Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Eight Advisors Inc. accounting fraud or deficiencies2014$437,500
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Perceptive Advisors LLC investor protection violation2009$439,755
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016$440,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016$440,000
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
JM Financial Institutional Securities Private Limited investor protection violation2012$443,545
TrendsGroup International, Inc. investor protection violation2003$445,691
Vinci Partners Investimentos investor protection violation2014$448,707
Sarkauskas and Associates, Inc. investor protection violation2013$449,837
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
Signator Investors, Inc. investor protection violation2015$450,000
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
Capital Analysts Incorporated investor protection violation2005$450,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
Palmer Square Capital Management LLC investor protection violation2020$450,000
Resolute Capital Partners LTD LLC and Homebound Resources LLC investor protection violation2021$450,000
United Health Products, Inc. accounting fraud or deficiencies2022$450,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019$458,082
Goelzer Investment Management, Inc.? investor protection violation2013$463,793
Powersecure International, Inc. accounting fraud or deficiencies2016$470,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
Pinnacle Investments LLC investor protection violation2023$476,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$476,702
Lightspeed Trading LLC investor protection violation2014$478,216
TokenLot LLC investor protection violation2018$478,929
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015$480,000
Investacorp Advisory Services, Inc. investor protection violation2019$481,608
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021$481,920
Manitex International, Inc. et al. investor protection violation2020$485,000
Spring Hill Capital Markets, LLC, et al. investor protection violation2019$485,803
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.