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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
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
Equity Services, Inc. investor protection violation2009$300,000
Simpson Capital Management, Inc. investor protection violation2009$6,650,000
Merriman Curhan Ford & Co. investor protection violation2009$100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Perceptive Advisors LLC investor protection violation2009$439,755
First New York Securities L.L.C. investor protection violation2009$69,008
GLB Trading, Inc. investor protection violation2009$220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009$100,000
United Global Securities, Inc. investor protection violation2009$25,000
Lightspeed Trading LLC investor protection violation2009$77,260
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
Merchant Capital, L.L.C. investor protection violation2009$55,000
United Industrial Corporation investor protection violation2009$337,679
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009$15,000,000
INTECH Investment Management LLC investor protection violation2009$300,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$500,001
Hennessee Group LLC investor protection violation2009$814,644
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$65,000
Cornerstone Capital Management, Inc.? investor protection violation2009$335,758
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
Susquehanna Investment Group investor protection violation2009$7,640,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
Group One Trading, L.P. investor protection violation2009$1,800,000
Equitec Proprietary Markets, LLC investor protection violation2009$2,080,000
Botta Capital Management, L.L.C. investor protection violation2009$825,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2018$1,900,000
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
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
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018$5,000,000
LendingClub Asset Management LLCLendingClub Corp.financial servicesinvestor protection violation2018$5,000,000
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
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
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
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
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
MedCap Management & Research LLC investor protection violation2008$70,632
Victoire Finance Capital LLC investor protection violation2008$215,631
Sirios Capital Management, L.P.? investor protection violation2008$287,058
Moon Capital Management, LP? investor protection violation2008$139,071
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
Finance 500, Inc. investor protection violation2008$345,499
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
Pax World Management Corp. investor protection violation2008$500,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.