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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
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002$1,268,253
Portfolio Advisors Alliance investor protection violation2019$1,259,721
RAE Systems Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2010$1,250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$1,250,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018$1,250,000
BGC Financial accounting fraud or deficiencies2018$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
Natixis Securities Americas LLC investor protection violation2018$1,250,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020$1,250,000
United States Oil Fund LP and United States Commodity Funds LLC investor protection violation2021$1,250,000
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023$1,250,000
TAL Education Group investor protection violation2023$1,250,000
Huntington Investment Company investor protection violation2024$1,250,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024$1,250,000
O.N. Investment Management Company investor protection violation2022$1,238,653
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021$1,207,000
Summit Financial Group, Inc. investor protection violation2020$1,206,882
Whitebox Advisors investor protection violation2014$1,202,924
Gardere Wynne Sewell LLP data submission deficiencies2002$1,200,000
Coda Markets, Inc. investor protection violation2021$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022$1,200,000
IC Advisory Services Inc. investor protection violation2019$1,195,186
GA Investors investor protection violation2024$1,191,938
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019$1,171,028
Sweetwater Investments, Inc. investor protection violation2019$1,164,747
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015$1,153,303
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022$1,150,000
American Portfolios Advisers Inc. investor protection violation2018$1,145,353
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024$1,145,000
Summit Asset Strategies accounting fraud or deficiencies2015$1,143,933
Deccan Value Investors LP investor protection violation2022$1,139,501
Wisteria Global, Inc. investor protection violation2015$1,138,935
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$1,134,152
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015$1,113,916
Pinnacle Companies, LLC investor protection violation2019$1,112,000
Thoroughbred Financial Services, LLC investor protection violation2018$1,108,618
Educators Financial Services, Inc. investor protection violation2022$1,107,490
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
Computershare Trust Company of Canada investor protection violation2006$1,101,868
Focus Point Solutions and The H Group investor protection violation2012$1,100,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017$1,100,000
Ruby Corporation investor protection violation2014$1,100,000
Conn's Inc. accounting fraud or deficiencies2019$1,100,000
Sure Trace Security Corporation investor protection violation2007$1,098,900
ABS Manager investor protection violation2015$1,087,648
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015$1,084,210
Chicago Crypto Capital LLC investor protection violation2023$1,071,686
Strong Investment Management investor protection violation2019$1,061,157
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015$1,055,197
Thor Technologies, Inc. investor protection violation2023$1,053,193
Manarin Investment Counsel, Ltd., et al. investor protection violation2013$1,052,747
NPB Financial Group, LLC investor protection violation2020$1,050,188
First Heartland Consultants, Inc. investor protection violation2021$1,045,528
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC investor protection violation2007$1,045,060
Titan Global Capital Management USA LLC investor protection violation2023$1,042,454
First Paragon, Inc. investor protection violation2000$1,040,000
Summit Financial Group, Inc. investor protection violation2019$1,032,702
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. investor protection violation2020$1,031,270
VII Peaks Capital, LLC investor protection violation2021$1,030,699
EDG Management Company, LLC investor protection violation2020$1,026,642
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2022$1,024,484
M Holdings Securities, Inc. investor protection violation2019$1,022,048
Roosevelt & Cross, Inc. investor protection violation2020$1,017,015
A.R. Schmeidler & Co., Inc. investor protection violation2013$1,011,564
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015$1,011,093
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019$1,005,194
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$1,000,000
Cabela'sBass Proretailingaccounting fraud or deficiencies2016$1,000,000
E.S. Financial Services anti-money-laundering deficiencies2016$1,000,000
Sands Brothers Asset Management LLC investor protection violation2015$1,000,000
Spencer Pharmaceutical Inc. investor protection violation2015$1,000,000
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015$1,000,000
Athena Capital Research investor protection violation2014$1,000,000
Fuqi International Inc. accounting fraud or deficiencies2013$1,000,000
Keyuan Petrochemicals accounting fraud or deficiencies2013$1,000,000
Advanced Equities Inc investor protection violation2012$1,000,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$1,000,000
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010$1,000,000
SafeNet, Inc. accounting fraud or deficiencies2009$1,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004$1,000,000
Security Trust Company, N.A. investor protection violation2004$1,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003$1,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
Rhino Advisors Inc. investor protection violation2003$1,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002$1,000,000
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016$1,000,000
Lime Energy Co. accounting fraud or deficiencies2016$1,000,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017$1,000,000
American Life, Inc. investor protection violation2016$1,000,000
Pipeline Trading Systems LLC investor protection violation2011$1,000,000
Chardan Capital Markets LLC anti-money-laundering deficiencies2018$1,000,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018$1,000,000
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018$1,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.