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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
Wahed Invest, LLC investor protection violation2022$300,000
Alphacentric Advisors LLC investor protection violation2022$300,000
Advisor Resource Council investor protection violation2024$300,000
Kestra Private Wealth Services, LLC investor protection violation2021$299,569
Coburn & Meredith, Inc investor protection violation2021$299,340
Provise Management Group, LLC investor protection violation2019$297,423
Seawolf Capital investor protection violation2014$296,937
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$296,750
TL Ventures Inc illicit political contributions2014$294,894
New Castle Funds LLC investor protection violation2010$293,064
Thompson Price Holding Inc. investor protection violation2009$288,815
Westinghouse Air Brake Technologies CorporationWestinghouse Air Brake Technologies (Wabtec)industrial equipmentForeign Corrupt Practices Act2008$288,351
Sage Advisory Services LLC investor protection violation2001$288,328
Simpson Hughes Financial, LLC investor protection violation2016$287,119
Sirios Capital Management, L.P.? investor protection violation2008$287,058
3D/L Capital Management, LLC investor protection violation2024$285,607
Sperry and Sons Capital Investments, LLC investor protection violation2021$284,480
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management investor protection violation2013$282,720
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
Sabby Management LLC investor protection violation2015$278,747
JL Capital Management investor protection violation2017$278,289
Signature Financial Services, Ltd. investor protection violation2020$276,580
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
Capital Dynamics, Inc. investor protection violation2017$275,000
New Silk Route Advisors, L.P. investor protection violation2016$275,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2021$275,000
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023$275,000
ShapeShift AG investor protection violation2024$275,000
Oxford Investment Partners, LLC investor protection violation2013$274,295
Cutting Edge Business Services, Inc. investor protection violation2019$273,336
Bander Law Firm, PLLC investor protection violation2015$273,184
HarborLight Capital Management, LLC? investor protection violation2013$270,615
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019$270,539
ICO Rating investor protection violation2019$268,998
Temple Securities, Ltd. investor protection violation2007$268,346
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016$265,000
Haberman Value Fund, L.P. investor protection violation2010$263,443
Connecticut Capital Markets, L.L.C. investor protection violation2004$259,110
Ryan Financial Advisors, Inc. investor protection violation2019$258,670
Winston Reed Investments LLC investor protection violation2020$255,850
HD Mile High Marketing, Inc. investor protection violation2014$250,076
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016$250,000
The Baker Group, LP investor protection violation2015$250,000
B.C. Ziegler and Company investor protection violation2015$250,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015$250,000
BOSC, Inc. investor protection violation2015$250,000
City Securities Corporation investor protection violation2015$250,000
Dougherty & Co. LLC investor protection violation2015$250,000
George K. Baum & Company investor protection violation2015$250,000
Apple Nine Advisors Inc. accounting fraud or deficiencies2014$250,000
GW & Wade investor protection violation2013$250,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008$250,000
Commonwealth Equity Services, LLP investor protection violation2007$250,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007$250,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$250,000
Robert W. Baird & Co. investor protection violation2016$250,000
Brahman Capital Corp. investor protection violation2017$250,000
Paramount Group Real Estate Advisor LLC investor protection violation2017$250,000
Resilience Management, LLC investor protection violation2017$250,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017$250,000
Altair Nanotechnologies, Inc. investor protection violation2016$250,000
Aviva Investors Americas, LLC investor protection violation2016$250,000
Roosevelt & Cross, Incorporated investor protection violation2016$250,000
Boenning & Scattergood, Inc. investor protection violation2016$250,000
Alpha Fiduciary, Inc. investor protection violation2015$250,000
Cranshire Capital Advisors, LLC investor protection violation2015$250,000
Duncan-Williams, Inc investor protection violation2015$250,000
Crews & Associates, Inc. investor protection violation2015$250,000
Stilwell Value LLC investor protection violation2015$250,000
Dedicated Sound and Audio, Inc. investor protection violation2018$250,000
Agamas Capital Management, LP investor protection violation2013$250,000
CarrierEQ Inc. (Airfox) investor protection violation2018$250,000
Paragon Coin Inc. investor protection violation2018$250,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$250,000
Wealthfront Advisers LLC investor protection violation2018$250,000
AOC Securities LLC investor protection violation2019$250,000
Canaccord Genuity LLC investor protection violation2019$250,000
Mosaic Capital, LLC investor protection violation2019$250,000
Northwest Biotherapeutics, Inc. investor protection violation2019$250,000
Garrison Investment Group LP and Garrison Capital Advisers LLC investor protection violation2019$250,000
Blockchain of Things Inc. investor protection violation2019$250,000
Stonemor Partners L.P. and Stonemor GP LLC investor protection violation2019$250,000
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019$250,000
Millington Securities Inc. investor protection violation2020$250,000
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020$250,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2020$250,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. investor protection violation2020$250,000
Tierion, Inc. investor protection violation2020$250,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. investor protection violation2021$250,000
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021$250,000
Herbert J. Sims & Co., Inc. investor protection violation2021$250,000
Spartan Securities Group, LTD investor protection violation2022$250,000
Coinme Inc. investor protection violation2023$250,000
Co-Diagnostics, Inc. investor protection violation2023$250,000
Fundrise Advisors, LLC investor protection violation2023$250,000
Bruderman Asset Management LLC investor protection violation2023$250,000
MVP Manager LLC investor protection violation2019$249,739
USA Financial Securities Corporation investor protection violation2021$249,455
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.