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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
L.M. Kohn & Company investor protection violation2019$586,882
Strategic Capital Group LLC investor protection violation2014$586,290
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020$586,000
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC investor protection violation2023$584,333
Abetterfinancialplan.Com, LLC investor protection violation2020$581,962
Coordinated Capital Securities, Inc. investor protection violation2020$581,961
City Securities Corporation investor protection violation2013$580,000
Capital Concept Marketing, Inc. investor protection violation2005$580,000
Hope Capital, Inc. investor protection violation2016$579,747
China Valves Technology Inc. investor protection violation2015$575,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. investor protection violation2004$575,000
ConTXT, Inc investor protection violation2021$571,153
Edelweiss Financial Services Limited investor protection violation2012$568,347
Park Avenue Securities LLC investor protection violation2019$564,267
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
Cloudastructure, Inc. investor protection violation2023$558,071
Hightimes Holding Corp investor protection violation2023$558,071
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017$552,086
Canaccord Genuity Inc. investor protection violation2016$550,198
Kestra Private Wealth Services, LLC investor protection violation2019$549,003
Edwin Shaw LLC investor protection violation2018$544,744
Popular Securities, LLC investor protection violation2019$544,577
Barcelona Strategies LLC investor protection violation2018$542,120
TJM Proprietary Trading LLC investor protection violation2009$541,000
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017$536,886
Southpoint Capital Advisors investor protection violation2013$534,757
Wunderlich Securities, Inc. investor protection violation2011$532,624
Questar Asset Management, Inc. investor protection violation2019$527,566
Contrarian Capital Management, L.L.C. investor protection violation2024$521,326
Blackthorn Investment Group investor protection violation2013$520,207
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009$518,470
Upright Financial Corp. investor protection violation2021$517,209
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018$513,194
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008$510,000
Semper Capital Management, L.P. investor protection violation2020$503,228
Legacy Group, Inc. investor protection violation2021$502,726
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$502,400
Telex Mobile Holdings, Inc. investor protection violation2018$500,870
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$500,001
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
Robert W. Baird & Co. Incorporated investor protection violation2015$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
Canadian Solar Inc. accounting fraud or deficiencies2014$500,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011$500,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Monsanto CompanyBayerchemicalsForeign Corrupt Practices Act2005$500,000
Schering-Plough CorporationMerckpharmaceuticalsForeign Corrupt Practices Act2004$500,000
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003$500,000
Syncor International Corporation Foreign Corrupt Practices Act2002$500,000
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016$500,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016$500,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017$500,000
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017$500,000
AssetMark, Inc. investor protection violation2016$500,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016$500,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016$500,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016$500,000
D.A. Davidson & Co. investor protection violation2016$500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$500,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015$500,000
Elbit Imaging Ltd. accounting fraud or deficiencies2018$500,000
John Thomas Financial Inc. investor protection violation2013$500,000
EnCap Investments L.P.Encap Investmentsprivate equity (including portfolio companies)investor protection violation2018$500,000
Lyxor Asset Management, Inc. investor protection violation2018$500,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$500,000
Ophrys, LLC investor protection violation2018$500,000
Pax World Management Corp. investor protection violation2008$500,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002$500,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019$500,000
UQM Technologies, Inc.Danfossindustrial equipmentinvestor protection violation2019$500,000
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015$500,000
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015$500,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015$500,000
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015$500,000
Enigma MPC investor protection violation2020$500,000
Hill International, Inc. accounting fraud or deficiencies2020$500,000
Pareteum Corporation investor protection violation2021$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022$500,000
Legal & General Investment Management America, Inc. investor protection violation2022$500,000
Chembio Diagnostics, Inc. investor protection violation2023$500,000
DST Asset Manager Solutions, Inc. investor protection violation2023$500,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023$500,000
RenovaCare, Inc. investor protection violation2024$500,000
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006$495,596
Electronic Data Systems Corporation accounting fraud or deficiencies2007$490,902
Vertical Capital Partners, Inc. investor protection violation2007$490,432
MIAI, Inc. investor protection violation2019$488,579
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.