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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 TypeYear sort iconPenalty Amount
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023$7,500,000
Pinnacle Investments LLC investor protection violation2023$476,000
Classic Asset Management LLC investor protection violation2023$195,228
Coinme Inc. investor protection violation2023$250,000
Up Global SEZC investor protection violation2023$3,520,000
Trends Investments Inc. investor protection violation2023$4,007,027
Expro Group Holdings N.V. investor protection violation2023$7,998,721
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023$9,000,000
BHP Capital NY, Inc. investor protection violation2023$2,500,000
Hydrogen Technology Corporation investor protection violation2023$2,796,234
Boyle CP LLC accounting fraud or deficiencies2023$50,000
Cantaloupe, Inc. investor protection violation2023$1,500,000
First Guaranty Bancshares, Inc. investor protection violation2023$600,000
RTW Investments, LP investor protection violation2023$1,400,000
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023$275,000
RSE Markets Inc. investor protection violation2023$350,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
Foresee Inc. et al. investor protection violation2023$5,374,482
Marcum LLP accounting fraud or deficiencies2023$10,000,000
Insight Venture Management LLC investor protection violation2023$2,364,958
Legendary Partners, LLC investor protection violation2023$412,542
Empires Consulting Corp. investor protection violation2023$34,839,951
Vuuzle Media Corp. et al. investor protection violation2023$28,599,662
Co-Diagnostics, Inc. investor protection violation2023$250,000
Future Fintech Group Inc. investor protection violation2023$1,650,000
Quantstamp, Inc. investor protection violation2023$1,000,000
Monroe Capital Management Advisors, LLC investor protection violation2023$1,000,000
Digital World Acquisition Corp. investor protection violation2023$18,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023$1,400,000
Benecke Economics investor protection violation2023$60,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023$4,000,000
Crowe U.K. LLP accounting fraud or deficiencies2023$750,000
Grupo Aval Acciones y Valores S.A. Foreign Corrupt Practices Act2023$40,000,000
Bittrex Inc. et al. investor protection violation2023$24,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023$125,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023$35,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023$35,000,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023$25,000,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023$25,000,000
Houlihan Lokey Capital, Inc. investor protection violation2023$15,000,000
Moelis & Company LLC investor protection violation2023$10,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$10,000,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023$9,000,000
Theorem Fund Services LLC investor protection violation2023$122,271
Exchange Traded Managers Group LLC investor protection violation2023$4,000,000
Vika Ventures LLC investor protection violation2023$8,929,120
Ustocktrade LLC investor protection violation2023$75,000
Summitcrest Capital, Inc. investor protection violation2023$23,181,761
Valo Holdings Group investor protection violation2023$668,240
DST Asset Manager Solutions, Inc. investor protection violation2023$500,000
Malvern Bancorp, Inc. investor protection violation2023$350,000
Ault Alliance, Inc. investor protection violation2023$700,000
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC investor protection violation2023$584,333
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023$1,500,000
GlennCap LLC investor protection violation2023$3,000,000
Artemis Wealth Advisors, LLC investor protection violation2023$150,000
Stoner Cats 2 LLC investor protection violation2023$1,000,000
Esos Rings, Inc. investor protection violation2023$613,319
True Capital Management, LLC investor protection violation2023$821,793
YieldStreet Inc. investor protection violation2023$1,900,000
Banorte Asset Management Inc. investor protection violation2023$50,000
BTS Asset Management Inc. investor protection violation2023$135,000
Elm Partners Management LLC investor protection violation2023$175,000
Hansen and Associates Financial Group Inc investor protection violation2023$50,000
Linden Thomas Advisory Services LLC investor protection violation2023$135,000
Macroclimate LLC investor protection violation2023$100,000
Maximus, Inc.Maximusmiscellaneous servicesinvestor protection violation2023$500,000
McElhenny Sheffield Capital Management LLC investor protection violation2023$60,000
Mortgage Industry Advisory Corporation investor protection violation2023$100,000
MRA Advisory Group investor protection violation2023$85,000
Simplex Trading, LLC investor protection violation2023$200,000
Trowbridge Capital Partners LLC investor protection violation2023$60,000
Monolith Resources LLC workplace whistleblower retaliation2023$225,000
Ameritrust Corporation investor protection violation2023$15,802,376
Beespoke Capital, Inc. investor protection violation2023$5,196,518
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023$14,500,000
Apex Financial Advisors Inc. investor protection violation2023$130,000
Bluestone Capital Management LLC investor protection violation2023$75,000
Disruptive Technology Advisers LLC investor protection violation2023$225,000
Lloyd George Management (HK) Limited investor protection violation2023$50,000
Prime Group Holdings LLC investor protection violation2023$20,500,000
The Eideard Group, LLC investor protection violation2023$80,000
SQN Capital Management, LLC investor protection violation2023$200,000
Plug Power Inc.Plug Power Inc.utilities and power generationinvestor protection violation2023$1,250,000
Archipelago Trading Services Inc. investor protection violation2023$1,500,000
Bittrex Inc. investor protection violation2023$24,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023$2,900,000
Impact Theory, LLC investor protection violation2023$6,100,000
Legacy Hospitality II, LLC investor protection violation2023$3,892,012
Legendary Capital REIT III, LLC investor protection violation2023$774,331
3M Company3M Companymiscellaneous manufacturingForeign Corrupt Practices Act2023$6,500,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023$35,000,000
Alpine 4 Holdings, Inc. investor protection violation2023$60,000
Black Spade Acquisition Co investor protection violation2023$35,000
Fundrise Advisors, LLC investor protection violation2023$250,000
Omnia Wellness Inc. investor protection violation2023$60,000
ReShape Lifesciences Inc. investor protection violation2023$35,000
Vivic Corp. investor protection violation2023$60,000
Titan Global Capital Management USA LLC investor protection violation2023$1,042,454
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.