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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
NGN Capital investor protection violation2017$100,000
Pershing Square Capital Management investor protection violation2017$75,000
The Banc Funds Company investor protection violation2017$75,000
Citadel Securities LLC investor protection violation2017$22,600,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$13,000,000
Sociedad Quimica y Minera de Chile S.A. Foreign Corrupt Practices Act2017$15,000,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017$6,600,000
ITG investor protection violation2017$24,400,000
Zimmer Biomet Holdings Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2017$13,022,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017$1,600,000
Port Authority of New York and New Jersey investor protection violation2017$400,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017$13,000,000
Orthofix InternationalOrthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2017$14,250,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017$1,000,000
MDC Partners accounting fraud or deficiencies2017$1,500,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017$500,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017$5,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$18,300,000
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017$150,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017$15,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$8,000,000
Sidoti & Company LLC investor protection violation2017$100,000
Oxford City Football Club, Inc. investor protection violation2017$6,853,358
Hold Brothers Online Investment Services, LLC investor protection violation2017$707,764
TeamVinh.com LLC investor protection violation2017$2,681,072
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017$3,000,000
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017$200,000
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017$193,676
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation investor protection violation2017$50,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017$97,037,659
Verto Capital Management investor protection violation2017$4,158,517
Enviso Capital LLC investor protection violation2017$50,000
Ascenergy LLC investor protection violation2017$6,859,690
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017$35,300,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017$6,230,999
7S Oil & Gas, LLC investor protection violation2017$750,000
Halliburton CompanyHalliburtonoilfield services and suppliesForeign Corrupt Practices Act2017$29,200,000
Petroforce Energy, LLC investor protection violation2017$300,000
Green Tree Investment Group investor protection violation2017$770,356
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017$1,500,000
Millennium Management LLC investor protection violation2017$630,000
Augustine Capital Management LLC investor protection violation2017$878,305
JustInfo LLC fraud2017$1,293,675
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017$13,023,885
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017$4,100,000
Paritz & Company accounting fraud or deficiencies2017$132,049
Telia Company ABTelia Company ABtelecommunicationsForeign Corrupt Practices Act2017$457,000,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017$1,100,000
Deerfield Management Company L.P. investor protection violation2017$4,600,000
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017$340,000
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017$100,937
Penn West Petroleum Ltd. accounting fraud or deficiencies2017$8,500,000
Capital Financial Partners, LLC et al. investor protection violation2017$15,700,000
Train, Babcock Advisors LLC investor protection violation2017$1,700,725
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management investor protection violation2017$50,000
TPG Capital Advisors, LLCTPG Capitalprivate equity (including portfolio companies)investor protection violation2017$12,487,620
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017$536,886
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017$13,000,000
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017$80,000
Horter Investment Management, LLC investor protection violation2017$778,804
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017$8,750,000
Institutional Investor Advisers, Inc. investor protection violation2017$200,000
Brahman Capital Corp. investor protection violation2017$250,000
Gray Financial Group, Inc. investor protection violation2017$401,298
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017$3,500,000
Millennium Management LLC investor protection violation2017$638,709
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017$3,500,000
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
Canterbury Consulting, Inc. investor protection violation2017$172,986
Loop Capital Markets, LLC investor protection violation2017$25,000
Success Holding Group International, Inc. investor protection violation2017$139,737
SIX Financial Information USA Inc. investor protection violation2017$107,707
LBMZ Securities, Inc. investor protection violation2017$240,000
VisionPoint Advisory Group, LLC investor protection violation2017$45,000
360 Financial, Inc. investor protection violation2017$40,000
TRH Financial LLC investor protection violation2017$35,000
Sagent Wealth Management, LLC investor protection violation2017$181,110
Platinum Equity Advisors, LLCPlatinum Equityprivate equity (including portfolio companies)investor protection violation2017$3,402,132
Howarth Financial Services, LLC investor protection violation2017$203,444
JL Capital Management investor protection violation2017$278,289
Potomac Asset Management Company, Inc investor protection violation2017$300,000
Envoy Advisory, Inc. investor protection violation2017$51,892
Municipal Finance Services, Inc. investor protection violation2017$50,000
O'Connor & Company Securities, Inc. investor protection violation2017$150,000
Vertical Capital Asset Management, LLC investor protection violation2017$9,034,957
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017$4,400,000
Institutional Investors Advisory Company investor protection violation2017$843,187
Capital Dynamics, Inc. investor protection violation2017$275,000
Coachman Energy Partners LLC investor protection violation2017$941,507
Cadaret and Grant & Co., Inc. investor protection violation2017$3,048,000
Columbia River Advisors, LLC investor protection violation2017$80,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$200,000
Bradway Financial, LLC and Bradway Capital Management, LLC investor protection violation2017$150,000
Umbrella Research, LLC investor protection violation2017$16,676
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017$552,086
Paramount Group Real Estate Advisor LLC investor protection violation2017$250,000
Landwin Management, LLC investor protection violation2017$75,000
Bantry Bay Capital, LLC 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.