Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002$1,268,253
Deerfield Capital Corp. accounting fraud or deficiencies2011$1,277,070
Centaurus Financial, Inc. investor protection violation2021$1,281,396
GPS Partners, LLC investor protection violation2010$1,284,171
Lefavi Wealth Management, Inc. investor protection violation2019$1,288,735
JustInfo LLC fraud2017$1,293,675
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022$1,300,000
Touradji Capital Management, L.P. investor protection violation2011$1,303,336
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,304,197
Appaloosa Management L.P. investor protection violation2010$1,304,523
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. investor protection violation2020$1,305,660
Secured Income Reserve, Inc. fraud2016$1,318,476
Colonial Tidewater Realty Income Partners investor protection violation2015$1,319,386
Westport Capital Markets, LLC investor protection violation2021$1,320,761
Fieldstone Financial Management Group LLC investor protection violation2019$1,322,971
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023$1,327,147
Platinum Wealth Partners, Inc. investor protection violation2020$1,330,847
Gartmore Investment Limited investor protection violation2010$1,347,251
Pacific Air Transport investor protection violation2001$1,364,692
Benjamin F. Edwards & Company, Inc. investor protection violation2020$1,366,551
House Asset Management, L.L.C. and House Edge, L.P. investor protection violation2005$1,375,767
Harbinger Capital Partners, LLC investor protection violation2012$1,378,763
FX & Beyond Corporation investor protection violation2018$1,392,656
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009$1,400,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016$1,400,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018$1,400,000
The Bancorp, Inc. investor protection violation2019$1,400,000
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020$1,400,000
RTW Investments, LP investor protection violation2023$1,400,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023$1,400,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018$1,404,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$1,405,349
Assured International, Inc. and Sharp Financial Corp. investor protection violation2000$1,407,217
Commonwealth Communications Group and Marjet Corp. fraud2000$1,407,284
Independent Financial Group LLC investor protection violation2019$1,426,150
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004$1,431,369
New Futures Trading International Corporation investor protection violation2012$1,433,889
Mazuma Corporation et al. investor protection violation2013$1,449,978
BarnBridge DAO investor protection violation2023$1,457,000
Wealth Management LLC investor protection violation2010$1,471,002
Founders Financial Securities, LLC investor protection violation2019$1,475,465
VCAP Securities investor protection violation2015$1,477,332
Horseman Capital Management, L.P.? investor protection violation2011$1,484,952
Hope Advisors, LLC investor protection violation2018$1,487,235
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015$1,500,000
Trinity Capital Corporation accounting fraud or deficiencies2015$1,500,000
UTStarcom, Inc. Foreign Corrupt Practices Act2009$1,500,000
Lucent Technologies Inc.NokiatelecommunicationsForeign Corrupt Practices Act2007$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Lehman Brothers Inc. investor protection violation2006$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006$1,500,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$1,500,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006$1,500,000
Tyson Foods, Inc.Tyson Foodsfood productsaccounting fraud or deficiencies2005$1,500,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004$1,500,000
MDC Partners accounting fraud or deficiencies2017$1,500,000
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017$1,500,000
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017$1,500,000
Federated Global Investment Management Corp. investor protection violation2016$1,500,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018$1,500,000
Tangoe Inc.Tangoe Inc.information technologyaccounting fraud or deficiencies2018$1,500,000
Herzog, Heine, Geduld, LLC investor protection violation2006$1,500,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Crowe LLP accounting fraud or deficiencies2018$1,500,000
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018$1,500,000
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
MiMedx Group Inc.MiMedx Group, Incmedical equipment and suppliesaccounting fraud or deficiencies2019$1,500,000
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020$1,500,000
GWFS Equities Inc. anti-money-laundering deficiencies2021$1,500,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022$1,500,000
Perceptive Advisors LLC investor protection violation2022$1,500,000
Cantaloupe, Inc. investor protection violation2023$1,500,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023$1,500,000
Archipelago Trading Services Inc. investor protection violation2023$1,500,000
TradeStation Crypto, Inc. investor protection violation2024$1,500,000
Northern Star Investment Corp. II investor protection violation2024$1,500,000
Future Strategies Srl a/k/a Future Strategies International investor protection violation2001$1,500,073
Bell Rock Capital, LLC investor protection violation2023$1,509,048
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. investor protection violation2004$1,522,500
Lek Securities Corp. investor protection violation2019$1,525,892
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024$1,542,187
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$1,545,758
AMMB Consultant Sendirian Berhad investor protection violation2012$1,550,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
FacePrint Global Solutions, Inc. investor protection violation2008$1,573,825
Golden State Equity Investors, Inc. investor protection violation2009$1,577,579
Genesis Advisory Services Corp. and ABJ Societe Anonyme Corp. investor protection violation2014$1,583,942
Biomet Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2012$1,586,032
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Crown Capital Securities, L.P. investor protection violation2021$1,587,912
Comverse Technology Inc. Foreign Corrupt Practices Act2011$1,600,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016$1,600,000
National Institute Companies of America, Inc. investor protection violation2004$1,600,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017$1,600,000
American Infrastructure Funds LLC investor protection violation2023$1,600,000
Rockwell Capital Management investor protection violation2024$1,602,089
One Touch Marketing, Inc. fraud2004$1,608,102
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.