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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 Type sort iconYearPenalty Amount
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
Palm Beach Atlantic Financial Group, LLC investor protection violation2019$75,000
Global Corporate Strategies LLC investor protection violation2019$4,120,000
Sica Wealth Management, LLC investor protection violation2020$378,693
Fortress Investment Management, LLC investor protection violation2020$104,097
Lone Star Value Management LLC investor protection violation2020$100,000
BPU Investment Management, Inc. investor protection violation2020$927,107
Cannell Capital, LLC investor protection violation2020$150,000
Catalyst Capital Advisors, LLC investor protection violation2020$10,508,481
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$1,822,438
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019$1,000,000
Bluefin Trading, LLC investor protection violation2019$303,638
Critical Trading, LLC investor protection violation2019$219,092
Stonemor Partners L.P. and Stonemor GP LLC investor protection violation2019$250,000
Kornitzer Capital Management, Inc. investor protection violation2019$3,626,995
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019$250,000
Argo Group International Holdings, Ltd. investor protection violation2020$900,000
TSP Capital Management Group, LLC investor protection violation2020$60,000
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020$15,992,441
Oxbow Advisors, LLC investor protection violation2020$321,958
BitClave PTE Ltd investor protection violation2020$29,744,197
Ares Management LLCAres Managementprivate equity (including portfolio companies)investor protection violation2020$1,000,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020$3,500,000
1Globe Capital, LLC investor protection violation2020$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020$5,000,000
American Bondholders Foundation, LLC investor protection violation2020$65,000
Everest Capital LLC investor protection violation2020$3,208,226
Monsoon Capital, LLC investor protection violation2020$100,000
Semper Capital Management, L.P. investor protection violation2020$503,228
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020$3,889,007
Biltmore International Corporation investor protection violation2020$125,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$1,926,579
Eagle Strategies LLC investor protection violation2020$101,090
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2020$325,376
Old Ironsides Energy, LLC investor protection violation2020$1,000,000
Cozad Asset Management, Inc. investor protection violation2020$416,870
Boenning & Scattergood, Inc. investor protection violation2020$205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP investor protection violation2020$98,510
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020$3,200,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020$725,000
Naya Ventures, LLC investor protection violation2020$40,000
BMA Securities, LLC investor protection violation2020$333,537
Stiefel Laboratories Inc. investor protection violation2020$26,510,000
Navellier & Associates, Inc. investor protection violation2020$37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) investor protection violation2020$3,500,000
International Investment Group, LLC investor protection violation2020$35,000,000
The Lighthouse Events, LLC investor protection violation2020$3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc. investor protection violation2020$236,314
Hologram USA Networks Inc. investor protection violation2020$22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. investor protection violation2020$1,031,270
ICOBox investor protection violation2020$16,059,428
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020$167,629
WCAS Management Corporation investor protection violation2020$100,000
Gilder Gagnon Howe & Co. LLC investor protection violation2020$1,700,000
Navian Capital Securities LLC investor protection violation2020$40,000
Coordinated Capital Securities, Inc. investor protection violation2020$581,961
Unikrn Inc. investor protection violation2020$6,100,000
Park View School, Inc. investor protection violation2020$30,000
Roosevelt & Cross, Inc. investor protection violation2020$1,017,015
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020$176,399
SQN Capital Management, LLC investor protection violation2020$75,000
Signature Financial Services, Ltd. investor protection violation2020$276,580
National Financial Services LLC investor protection violation2020$2,461,193
Vstock Transfer LLC investor protection violation2020$65,000
NPB Financial Group, LLC investor protection violation2020$1,050,188
SCF Investment Advisors, Inc. investor protection violation2020$767,192
Boon Tech investor protection violation2020$5,600,334
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2020$11,500,000
Rialto Capital Management, LLC investor protection violation2020$350,000
WBI Investments Inc. investor protection violation2020$750,000
Millington Securities Inc. investor protection violation2020$250,000
Birinyi Associates, Inc. investor protection violation2020$100,000
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020$39,900,000
Celadon Financial Group LLC investor protection violation2020$125,000
IRTH Communications, LLC investor protection violation2020$74,233
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020$10,000,000
First Western Capital Management Company investor protection violation2020$200,000
Abetterfinancialplan.Com, LLC investor protection violation2020$581,962
Plutus Technologies Philippines Corp. investor protection violation2020$150,000
BNB Wealth Management, LLC investor protection violation2020$74,417
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020$250,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020$75,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2020$250,000
Telegram Group Inc. investor protection violation2020$18,500,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
Vereit, Inc.Realty Incomereal estateinvestor protection violation2020$8,000,000
AmTrust Financial Services Inc.Stone Point Capitalprivate equity (including portfolio companies)investor protection violation2020$10,300,000
Spiderworx Media LLC investor protection violation2020$60,000
An L.A. Minute LLC investor protection violation2020$100,000
Winston Reed Investments LLC investor protection violation2020$255,850
Benjamin F. Edwards & Company, Inc. investor protection violation2020$1,366,551
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$502,400
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. investor protection violation2020$1,305,660
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$603,776
Summit Financial Group, Inc. investor protection violation2020$1,206,882
Capitol Securities Management, Inc. investor protection violation2020$203,414
Tradenet Capital Markets Ltd. investor protection violation2020$130,000
EDG Management Company, LLC investor protection violation2020$1,026,642
Kik Interactive Inc. investor protection violation2020$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.