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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
Equity Services Inc. investor protection violation2019$587,017
Lakeside Capital Management, LLC investor protection violation2014$590,152
Spire Wealth Mangement, LLC investor protection violation2019$594,072
Landaas & Company investor protection violation2018$598,941
Phoenix Companies accounting fraud or deficiencies2016$600,000
Nature's Sunshine Products Inc.Nature's Sunshine Productshousehold and personal care productsForeign Corrupt Practices Act2009$600,000
Beacon Hill Asset Management, LLC investor protection violation2004$600,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016$600,000
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020$600,000
First Guaranty Bancshares, Inc. investor protection violation2023$600,000
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$603,776
Gilford Securities, Incorporated investor protection violation2011$612,113
Esos Rings, Inc. investor protection violation2023$613,319
GE InVision, Inc. Foreign Corrupt Practices Act2005$617,703
Bio-Heal Laboratories, Inc. investor protection violation2006$618,135
Auriga Global Investors, Sociedad de Valores, S.A. investor protection violation2015$618,401
Verto Capital Management LLC investor protection violation2018$620,594
Ambassador Advisors, LLC investor protection violation2022$622,642
Vision Financial Markets LLC anti-money-laundering deficiencies2019$625,000
BroCo Investments, Inc. accounting fraud or deficiencies2010$627,633
Millennium Management LLC investor protection violation2017$630,000
OneStep Financial Services, LLC investor protection violation2022$631,179
Millennium Management LLC investor protection violation2017$638,709
Essex Financial Services Inc. investor protection violation2019$645,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$647,000
World Tree Financial, LLC investor protection violation2021$647,947
Alpine Woods Capital Investors, LLC investor protection violation2011$650,000
Wireline, Inc. investor protection violation2021$650,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020$650,000
Nano-X Imaging Ltd. investor protection violation2023$650,000
D.A. Davidson & Co. investor protection violation2019$654,276
Frontier Wealth Management, LLC investor protection violation2021$658,712
Stracq, Inc. investor protection violation2005$660,000
Pan Capital AB investor protection violation2013$662,497
Herman's World of Sports, Inc. investor protection violation2005$663,685
D.E. Shaw & Co. investor protection violation2013$667,492
Valo Holdings Group investor protection violation2023$668,240
Akamai TechnologiesAkamai Technologiesinformation technologyForeign Corrupt Practices Act2016$671,885
Womack Investment Advisers, Inc. investor protection violation2022$677,955
SA Stone Investment Advisors Inc. investor protection violation2019$687,374
Wall Street Access investor protection violation2006$688,084
EyeCashNetworks, Inc. and Alliance Equities, Inc. investor protection violation2003$688,230
BTIG, LLC investor protection violation2022$690,000
Spark Trading Group LLC investor protection violation2019$694,915
Alpha Titans LLC investor protection violation2015$698,450
MusclePharm Corporation accounting fraud or deficiencies2015$700,000
Microphase Corp. investor protection violation2007$700,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005$700,000
Needham & Company, Inc. investor protection violation2004$700,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$700,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
Ault Alliance, Inc. investor protection violation2023$700,000
Cantella & Co., Inc. investor protection violation2021$701,630
PPS Advisors Inc. investor protection violation2018$706,746
Hold Brothers Online Investment Services, LLC investor protection violation2017$707,764
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$709,971
Kandi Technologies Group, Inc. investor protection violation2023$710,000
NPA Asset Management, LLC investor protection violation2022$711,628
Valor Capital Asset Management, LLC investor protection violation2018$715,871
ISC Advisors, Inc. investor protection violation2021$716,345
Commonwealth Communications Group investor protection violation2001$716,516
Amaranth Advisors L.L.C. investor protection violation2007$716,819
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020$725,000
H.D. Vest Investment Securities, Inc. investor protection violation2004$725,216
National Asset Management, Inc. investor protection violation2019$733,423
Ralph Lauren CorporationRalph Lauren Corp.apparelForeign Corrupt Practices Act2013$734,846
Icon Capital accounting fraud or deficiencies2016$750,000
Uni-Pixel Inc. investor protection violation2016$750,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015$750,000
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014$750,000
Universal Travel Group accounting fraud or deficiencies2013$750,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011$750,000
Endocare, Inc. accounting fraud or deficiencies2006$750,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006$750,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003$750,000
7S Oil & Gas, LLC investor protection violation2017$750,000
Aegis Capital Corporation anti-money-laundering deficiencies2018$750,000
Ark Asset Management Co., Inc. investor protection violation2010$750,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
WBI Investments Inc. investor protection violation2020$750,000
Crowe U.K. LLP accounting fraud or deficiencies2023$750,000
Mesirow Financial Investment Management, Inc. investor protection violation2022$752,834
Centaurus Financial, Inc. investor protection violation2023$755,499
Millennium Software Solutions, Inc. investor protection violation2000$760,450
Highpoint Advisor Group, LLC investor protection violation2022$764,737
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016$765,688
SCF Investment Advisors, Inc. investor protection violation2020$767,192
Cowen Prime Advisors LLC investor protection violation2021$768,879
Welhouse & Associates, Inc. investor protection violation2015$769,059
Green Tree Investment Group investor protection violation2017$770,356
Legendary Capital REIT III, LLC investor protection violation2023$774,331
Horter Investment Management, LLC investor protection violation2017$778,804
WCAS Management Corporation? investor protection violation2018$778,819
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016$780,000
Western Pacific Capital Management, LLC investor protection violation2012$781,940
MiddleCove Capital, LLC investor protection violation2013$788,118
Educators Financial Services, Inc. investor protection violation2021$790,365
Stein Mart Inc. accounting fraud or deficiencies2015$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.