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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
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
IFMG Securities, Inc. investor protection violation2006$1,000,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019$1,000,000
Ares Management LLCAres Managementprivate equity (including portfolio companies)investor protection violation2020$1,000,000
Old Ironsides Energy, LLC investor protection violation2020$1,000,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020$1,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020$1,000,000
DBRS, INC. investor protection violation2021$1,000,000
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
Stable Road Acquisition Company investor protection violation2021$1,000,000
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022$1,000,000
Petroteq Energy, Inc. investor protection violation2022$1,000,000
Global Investment Strategy UK Ltd. investor protection violation2022$1,000,000
Church of Jesus Christ of Latter-day Saints investor protection violation2023$1,000,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023$1,000,000
Corvex Management LP investor protection violation2023$1,000,000
Quantstamp, Inc. investor protection violation2023$1,000,000
Monroe Capital Management Advisors, LLC investor protection violation2023$1,000,000
Stoner Cats 2 LLC investor protection violation2023$1,000,000
Wellesley Asset Management, Inc investor protection violation2023$1,000,000
LandOak Securities LLC investor protection violation2011$992,140
Fontana Capital, LLC investor protection violation2011$984,790
Infinex Investments, Inc. investor protection violation2019$978,698
Mason Investment Advisory Services, Inc investor protection violation2021$975,057
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022$956,833
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000$950,000
RSM US LLP accounting fraud or deficiencies2019$950,000
BorgWarner Inc.BorgWarnerautomotive partsaccounting fraud or deficiencies2020$950,000
HG Vora Capital Management LLC investor protection violation2024$950,000
Hudson Bay Capital Management investor protection violation2013$949,453
Quogue Capital LLC investor protection violation2008$944,056
Intervoice investor protection violation2007$942,628
Coachman Energy Partners LLC investor protection violation2017$941,507
Aventura Capital Management, LLC investor protection violation2022$938,756
BPU Investment Management, Inc. investor protection violation2020$927,107
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2019$925,023
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
Cantella & Co., Inc. investor protection violation2019$919,597
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
Briargate Trading LLP investor protection violation2015$912,842
Ross, Sinclaire & Associates, LLC investor protection violation2016$903,574
Hamlin Capital Management, LLC? investor protection violation2018$900,000
Argo Group International Holdings, Ltd. investor protection violation2020$900,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
Kovack Advisors, Inc. investor protection violation2022$899,513
Kovack Advisors, Inc. investor protection violation2019$898,781
Fry Hensley and Company investor protection violation2013$894,657
Woodbridge Group of Companies LLC investor protection violation2019$892,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021$891,202
Creative Financial Designs, Inc. investor protection violation2020$890,240
Augustine Capital Management LLC investor protection violation2017$878,305
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$875,000
Vollero Beach Capital Partners investor protection violation2013$864,427
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
Aerokinetic Energy Corporation investor protection violation2011$859,571
Duff & Phelps Investment Management Co., Inc investor protection violation2001$854,161
Energy Innovation Capital Management, LLC investor protection violation2022$853,681
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
Clay Capital Management LLC investor protection violation2012$850,000
Basic Capital Management, Inc. investor protection violation2002$850,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010$850,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Harding Advisory LLC investor protection violation2019$850,000
Rafferty Capital Markets investor protection violation2014$849,626
Kahn Brothers Advisors, LLC investor protection violation2022$847,899
Regal Investment Advisors LLC investor protection violation2021$846,774
Huntleigh Advisors, Inc. investor protection violation2023$843,502
Institutional Investors Advisory Company investor protection violation2017$843,187
Concorde America, Inc. investor protection violation2009$841,175
The Hartcourt Companies, Inc. fraud2005$832,598
Botta Capital Management, L.L.C. investor protection violation2009$825,000
Maplelane Capital LLC investor protection violation2022$824,041
Laidlaw & Company (UK) Ltd. investor protection violation2023$822,884
True Capital Management, LLC investor protection violation2023$821,793
Motilal Oswal Securities Limited investor protection violation2012$821,594
Ardsley Advisory Partners investor protection violation2013$815,071
China Natural Gas Inc. accounting fraud or deficiencies2013$815,000
Hennessee Group LLC investor protection violation2009$814,644
Instinet LLC investor protection violation2013$813,280
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019$812,500
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
Candlestick Capital Management LP investor protection violation2023$810,000
Madison Avenue Securities, LLC investor protection violation2022$803,173
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
Stein Mart Inc. accounting fraud or deficiencies2015$800,000
eBX LLC investor protection violation2012$800,000
Compass Capital Group, Inc. investor protection violation2009$800,000
Van Wagoner Capital Management, Inc. investor protection violation2004$800,000
COR Clearing LLC data submission deficiencies2018$800,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018$800,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$800,000
Cormark Securities Inc. investor protection violation2020$800,000
tZERO ATS, LLC investor protection violation2022$800,000
Maxim Group, LLC investor protection violation2023$800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.