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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
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
L.J. Hart and Company investor protection violation2015$100,000
Loop Capital Markets, LLC investor protection violation2015$60,000
Martin Nelson & Co., Inc. investor protection violation2015$100,000
Merchant Capital, L.L.C. investor protection violation2015$100,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
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
Siebert Brandford Shank & Co., LLC investor protection violation2015$240,000
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Stephens Inc. investor protection violation2015$400,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
Wells Nelson & Associates, LLC investor protection violation2015$100,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Sand Hill Exchange investor protection violation2015$20,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015$190,000,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
Wwebnet Inc. accounting fraud or deficiencies2015$15,459,127
China Valves Technology Inc. investor protection violation2015$575,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015$750,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
BioChemics Inc. investor protection violation2015$17,897,887
H.D. Vest Investment Securities investor protection violation2015$225,000
GLR Advisers LLC accounting fraud or deficiencies2015$2,772,475
VCAP Securities investor protection violation2015$1,477,332
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015$1,000,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015$1,011,093
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015$1,055,197
Canarsie Capital, LLC investor protection violation2015$3,494,938
DKM Certified Public Accountants, Inc. investor protection violation2015$60,043
Messineo & Co., CPAs, LLC investor protection violation2015$25,000
Bander Law Firm, PLLC investor protection violation2015$273,184
Azarmehr Law Group investor protection violation2015$57,965
Alpha Fiduciary, Inc. investor protection violation2015$250,000
Cranshire Capital Advisors, LLC investor protection violation2015$250,000
JH Partners, LLC investor protection violation2015$225,000
Virtus Investment Advisers, Inc. investor protection violation2015$16,500,000
Metis Wealth Advisors, LLC investor protection violation2015$71,489
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC investor protection violation2015$100,000
Retirement Investment Advisors, Inc. and Research Holdings, LLC investor protection violation2015$219,243
Welhouse & Associates, Inc. investor protection violation2015$769,059
Latour Trading LLC investor protection violation2015$8,053,439
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$100,000
Duncan-Williams, Inc investor protection violation2015$250,000
Crews & Associates, Inc. investor protection violation2015$250,000
Country Club Bank investor protection violation2015$140,000
Commerce Bank Capital Markets Group investor protection violation2015$40,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015$60,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$200,000
NW Capital Markets Inc. investor protection violation2015$100,000
Northland Securities, Inc. investor protection violation2015$220,000
Mesirow Financial, Inc. investor protection violation2015$100,000
Joe Jolly & Co., Inc. investor protection violation2015$100,000
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2015$420,000
The Frazer Lanier Company, Incorporated investor protection violation2015$100,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$20,000
Estrada Hinojosa & Company, Inc. investor protection violation2015$40,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015$60,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015$420,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015$480,000
Ross, Sinclaire & Associates, LLC investor protection violation2015$220,000
Prager & Co., LLC investor protection violation2015$100,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015$500,000
Hyperdynamics Corporation investor protection violation2015$75,000
G Asset Management, LLC investor protection violation2015$175,000
R.T. Jones Capital Equities Management, Inc. investor protection violation2015$75,000
Ditto Holdings, Inc. investor protection violation2015$50,000
Mackensen & Company, Inc. investor protection violation2015$100,000
Success Trade, Inc. and Success Trade Securities, Inc. investor protection violation2015$26,158,214
Signator Investors, Inc. investor protection violation2015$450,000
Acadia Asset Management, LLC investor protection violation2015$354,115
Tri-Star Advisors, Inc. investor protection violation2015$150,000
Parallax Investments, LLC investor protection violation2015$200,000
Gold Mountain Management, LLC investor protection violation2015$200,000
Montgomery Street Research, LLC investor protection violation2015$342,718
Dion Money Management, LLC investor protection violation2015$50,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015$120,000
Wisteria Global, Inc. investor protection violation2015$1,138,935
Cotterman-Wilson CPAs, Inc investor protection violation2015$36,897
Pekin Singer Strauss Asset Management Inc investor protection violation2015$150,000
Commonwealth Capital Management, LLC, et al. investor protection violation2015$50,000
SFX Financial Advisory Management Enterprises, Inc. investor protection violation2015$150,000
Trust & Investment Advisors, Inc. investor protection violation2015$50,000
Alpha Titans LLC investor protection violation2015$698,450
Houston American Energy Corp. investor protection violation2015$400,000
StateTrust Investments, Inc. investor protection violation2015$90,000
Kornitzer Capital Management, Inc. investor protection violation2015$50,000
KBR, Inc.KBRconstruction and engineeringinvestor protection violation2015$130,000
Global Fixed Income, LLC, et al. investor protection violation2015$3,385,989
Keypoint Capital Management, LLC investor protection violation2015$77,250
Coral Reef Media, LLC investor protection violation2015$52,395
Stilwell Value LLC investor protection violation2015$250,000
SMP Investments I, LLC investor protection violation2015$63,750
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.