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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
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Great Plains Trust Company, Inc. investor protection violation2020$300,000
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020$5,946,782
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020$1,400,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. investor protection violation2020$250,000
Manitex International, Inc. et al. investor protection violation2020$485,000
Kroll Bond Rating Agency Inc. investor protection violation2020$2,010,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$35,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020$9,500,000
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020$1,500,000
Creative Financial Designs, Inc. investor protection violation2020$890,240
Hancock Whitney Investment Services, Inc. investor protection violation2020$2,337,792
Funding the Gap, LLC investor protection violation2020$30,000
SoluTech, Inc. investor protection violation2020$25,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020$2,500,000
Finser International Corporation investor protection violation2020$70,000
Platinum Wealth Partners, Inc. investor protection violation2020$1,330,847
Morgan Wilshire Securities, Inc. investor protection violation2020$179,017
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020$600,000
Palmer Square Capital Management LLC investor protection violation2020$450,000
RCI Hospitality Holdings, Inc. investor protection violation2020$400,000
Bolton Securities Corporation investor protection violation2021$224,994
World Tree Financial, LLC investor protection violation2021$647,947
Winslow and Evans & Crocker, Inc. investor protection violation2021$1,851,787
Premier Holding Corp. investor protection violation2021$9,691,500
Lightspeed Trading, LLC investor protection violation2021$100,000
Wireline, Inc. investor protection violation2021$650,000
ConTXT, Inc investor protection violation2021$571,153
OTR, Inc. investor protection violation2020$10,000
Genesis E&P, Inc. investor protection violation2020$192,768
Tierion, Inc. investor protection violation2020$250,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020$18,252,341
First Midstate Inc. investor protection violation2020$175,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020$22,919,155
Virtu ITG Canada Corp. investor protection violation2020$200,000
Cormark Securities Inc. investor protection violation2020$800,000
ShipChain, Inc. investor protection violation2020$2,050,000
India Globalization Capital, Inc. investor protection violation2020$175,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020$65,000,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020$1,000,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020$650,000
ICE Data Pricing & Reference Data LLC investor protection violation2020$8,000,000
BlueCrest Capital Management Limited investor protection violation2020$170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020$1,000,000
Applied BioSciences Corp. investor protection violation2020$25,000
Bancwest Investment Services, Inc. investor protection violation2020$406,432
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020$137,500,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021$9,000,000
Fortem Resources, Inc. investor protection violation2021$25,000
TruTankless, Inc. investor protection violation2021$25,000
ShiftPixy, Inc. investor protection violation2021$25,000
Rokk3r, Inc. investor protection violation2021$50,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021$25,000
HQDA Elderly Life Network Corp. investor protection violation2021$50,000
Asta Funding, Inc. investor protection violation2021$50,000
Igen Networks Corp. investor protection violation2021$25,000
Legacy Group, Inc. investor protection violation2021$502,726
Students of Strength, Inc. investor protection violation2021$222,517
VII Peaks Capital, LLC investor protection violation2021$1,030,699
Emperor Investments, Inc. investor protection violation2021$25,000
Centaurus Financial, Inc. investor protection violation2021$1,281,396
Mason Investment Advisory Services, Inc investor protection violation2021$975,057
Ettro Capital Management Corp. investor protection violation2021$60,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Regal Investment Advisors LLC investor protection violation2021$846,774
BFC Planning, Inc. investor protection violation2021$305,811
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
App Annie Inc. investor protection violation2021$10,000,000
ProSky, Inc. investor protection violation2021$4,700,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. investor protection violation2021$539,000,000
DBRS, INC. investor protection violation2021$1,000,000
Rothschild Investment Corporation investor protection violation2021$2,471,667
JW Korth & Company L.P. investor protection violation2021$176,533
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
Diastole Wealth Management, Inc. investor protection violation2021$100,000
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Frontier Wealth Management, LLC investor protection violation2021$658,712
Pareteum Corporation investor protection violation2021$500,000
McDonald Partners, LLC investor protection violation2021$194,682
Cetera Advisor Networks LLC et al. investor protection violation2021$300,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. investor protection violation2021$250,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Cantella & Co., Inc. investor protection violation2021$701,630
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Educators Financial Services, Inc. investor protection violation2021$790,365
Crews & Associates Inc. investor protection violation2021$244,072
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021$1,957,053
Northwest Advisors, Inc. investor protection violation2021$245,000
SoFi Wealth, LLC investor protection violation2021$300,000
Murchinson Ltd. investor protection violation2021$8,878,183
ISC Advisors, Inc. investor protection violation2021$716,345
Poloniex LLC investor protection violation2021$10,388,309
Blockchain Credit Partners investor protection violation2021$12,849,354
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2021$275,000
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021$481,920
USA Financial Securities Corporation investor protection violation2021$249,455
First Heartland Consultants, Inc. investor protection violation2021$1,045,528
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021$250,000
Herbert J. Sims & Co., Inc. investor protection violation2021$250,000
Integral Financial, LLC investor protection violation2021$85,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.