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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
Advanced Cell Technology investor protection violation2014$375,000
Apple Seven Advisors Inc. accounting fraud or deficiencies2014$375,000
Ranieri Partners investor protection violation2013$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$375,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004$375,000
Wilmington Savings Fund Society, FSB investor protection violation2016$375,000
The Phoenix Companies, Inc. investor protection violation2014$375,000
PHL Variable Insurance Company investor protection violation2014$375,000
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004$375,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023$375,000
Central States Capital Markets, LLC investor protection violation2016$374,827
OTC Solutions LLC investor protection violation2014$373,239
Hefren-Tilotson, Inc. investor protection violation2019$371,697
Enzyme Environmental Solutions, Inc. investor protection violation2011$371,135
Commonwealth Income & Growth Fund, Inc. investor protection violation2013$367,656
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$365,085
Centaur Management Co. LLC investor protection violation2012$364,322
Foundations Asset Management, LLC investor protection violation2019$363,947
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016$360,000
Thakkar CPA, PLLC investor protection violation2016$359,487
Innovative Business Solutions, LLC investor protection violation2016$357,986
Acadia Asset Management, LLC investor protection violation2015$354,115
War Chest Capital Partners LLC investor protection violation2015$351,818
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005$350,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$350,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
INET ATS, Inc. investor protection violation2006$350,000
Rialto Capital Management, LLC investor protection violation2020$350,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021$350,000
RSE Markets Inc. investor protection violation2023$350,000
Malvern Bancorp, Inc. investor protection violation2023$350,000
Celebrity Resorts and Casinos, Inc. investor protection violation2004$347,250
National Trust and Fiduciary Services Company, Inc. investor protection violation2023$346,799
North East Capital, LLC investor protection violation2013$346,132
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005$345,701
Finance 500, Inc. investor protection violation2008$345,499
Emission Controls Corporation fraud2005$343,333
Montgomery Street Research, LLC investor protection violation2015$342,718
Silversage Advisors investor protection violation2019$342,062
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021$340,193
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016$340,000
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017$340,000
United Industrial Corporation investor protection violation2009$337,679
Cornerstone Capital Management, Inc.? investor protection violation2009$335,758
Ironbird Capital LLC investor protection violation2014$335,435
Feltl Advisors, LLC investor protection violation2021$333,971
BMA Securities, LLC investor protection violation2020$333,537
Palmyra Capital Advisors LLC, investor protection violation2010$330,000
Garrison Investment Group LP investor protection violation2022$330,000
TPG Advisors LLC investor protection violation2016$328,437
Michigan Advisors Inc. investor protection violation2019$327,976
War Chest Capital Partners investor protection violation2013$327,569
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2020$325,376
Prime Time Group Inc. investor protection violation2010$325,000
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
Leaf Group Ltd. investor protection violation2022$325,000
Wave Equity Partners LLC investor protection violation2022$325,000
Nortek Inc.Madison IndustriesdiversifiedForeign Corrupt Practices Act2016$322,058
Oxbow Advisors, LLC investor protection violation2020$321,958
EMS Capital LP investor protection violation2019$317,415
Wilson-Davis & Company, Inc. investor protection violation2017$310,713
EB Financial Group, LLC investor protection violation2012$310,499
BFC Planning, Inc. investor protection violation2021$305,811
Everhart Financial Group, Inc. investor protection violation2016$305,407
Calton & Associates, Inc. investor protection violation2019$305,044
McDermott Investment Advisors, LLC investor protection violation2022$304,262
Indaba Capital Management investor protection violation2014$304,185
Bluefin Trading, LLC investor protection violation2019$303,638
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012$300,000
Ball CorporationBall Corp.paper and packagingForeign Corrupt Practices Act2011$300,000
Veraz Networks Inc. Foreign Corrupt Practices Act2010$300,000
Albert Fried & Company anti-money-laundering deficiencies2016$300,000
Wall Street Capital Funding LLC investor protection violation2011$300,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
The Globus Group investor protection violation2001$300,000
International Business Machines CorporationIBM Corp.information technologyForeign Corrupt Practices Act2000$300,000
Petroforce Energy, LLC investor protection violation2017$300,000
Potomac Asset Management Company, Inc investor protection violation2017$300,000
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017$300,000
Lone Star Value Management and Heartland Advisors investor protection violation2017$300,000
Jeffrey Slocum & Associates, Inc. investor protection violation2017$300,000
Riverfront Investment Group, LLC investor protection violation2016$300,000
Structured Portfolio Management, L.L.C., SPM Jr., L.L.C., and SPM IV, L.L.C. investor protection violation2014$300,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013$300,000
Institutional Shareholder Services Inc.Genstar Capitalprivate equity (including portfolio companies)investor protection violation2013$300,000
Bayes Capital, LLC investor protection violation2018$300,000
Equity Services, Inc. investor protection violation2009$300,000
INTECH Investment Management LLC investor protection violation2009$300,000
Holthouse Carlin & Van Trigt LLP? investor protection violation2018$300,000
Financial Design Associates, Inc. investor protection violation2007$300,000
Pinnacle Accountancy Group, PLLC accounting fraud or deficiencies2019$300,000
Wilson-Davis & Co., Inc. investor protection violation2019$300,000
Mid Atlantic Financial Management, Inc. investor protection violation2019$300,000
BrixInvest, LLC investor protection violation2019$300,000
Great Plains Trust Company, Inc. investor protection violation2020$300,000
Cetera Advisor Networks LLC et al. investor protection violation2021$300,000
SoFi Wealth, LLC investor protection violation2021$300,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021$300,000
Wahed Invest, LLC investor protection violation2022$300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.