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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
FCA Corp. investor protection violation2006$25,000
Freedom Financial, Inc. investor protection violation2004$25,000
Mid-Ohio Securities Corp. investor protection violation2003$25,000
Harvest Financial Corporation investor protection violation2003$25,000
Hawthorne Associates, Inc. investor protection violation2001$25,000
CGI Capital, Inc. investor protection violation2000$25,000
First Colonial Securities Group, Inc. investor protection violation2000$25,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000$25,000
Frontier Oilfield Services, Inc. investor protection violation2018$25,000
Dale Scott & Company, Inc. investor protection violation2019$25,000
SoluTech, Inc. investor protection violation2020$25,000
Applied BioSciences Corp. investor protection violation2020$25,000
Fortem Resources, Inc. investor protection violation2021$25,000
TruTankless, Inc. investor protection violation2021$25,000
ShiftPixy, Inc. investor protection violation2021$25,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021$25,000
Igen Networks Corp. investor protection violation2021$25,000
Emperor Investments, Inc. investor protection violation2021$25,000
Canton Hathaway LLC investor protection violation2021$25,000
Carmel Capital Management LLC investor protection violation2021$25,000
Castle Wealth Planning LLC investor protection violation2021$25,000
Harold Davidson & Associates Inc. investor protection violation2021$25,000
John A. Bysko Associates investor protection violation2021$25,000
Madden Funds Management Ltd. investor protection violation2021$25,000
Medallion Wealth Advisors LLC investor protection violation2021$25,000
Mighty Oak Strong America Investment Company investor protection violation2021$25,000
O'Brien Greene & Co. Inc. investor protection violation2021$25,000
Quantitative Asset Management LLC investor protection violation2021$25,000
Summit Financial Advisors Inc. investor protection violation2021$25,000
Westbourne Investments Inc. investor protection violation2021$25,000
Capital Portfolio Management Inc. investor protection violation2021$25,000
Newman Ladd Capital Advisors, LLC investor protection violation2021$25,000
Disciplined Capital Management LLC investor protection violation2021$25,000
Gutt Financial Management, LLC investor protection violation2022$25,000
Hinsdale Associates, Inc. investor protection violation2022$25,000
Personal Financial Planning, Inc. investor protection violation2022$25,000
Stone Run Capital, LLC investor protection violation2022$25,000
Watermark Securities, Inc. investor protection violation2022$25,000
Adirondack Financial Services Corp. investor protection violation2022$25,000
ARS Capital Advisors, Inc. investor protection violation2022$25,000
Graystone Company Inc. investor protection violation2023$25,000
SFLMaven Corp. investor protection violation2023$25,000
American Registrar & Transfer Company investor protection violation2016$25,649
Clear Scope Advisors, Inc. investor protection violation2019$25,678
vFinance Investments, Inc. investor protection violation2008$26,559
Securities Compliance Group, Ltd. investor protection violation2018$27,655
JC Management, Inc. investor protection violation2004$27,991
Santos, Postal & Company, P.C. investor protection violation2016$29,076
Prescient Capital Partners, Ltd. investor protection violation2012$29,968
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014$30,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013$30,000
School Business Consulting, Inc investor protection violation2016$30,000
IMC Asset Management, Inc. investor protection violation2013$30,000
Egan-Jones Ratings Company investor protection violation2013$30,000
Park View School, Inc. investor protection violation2020$30,000
Funding the Gap, LLC investor protection violation2020$30,000
Credicorp Capital Advisors LLC investor protection violation2024$30,000
Monex Asset Management Inc. investor protection violation2024$30,000
Park Financial Group, Inc. investor protection violation2007$30,373
Ambit Capital Pvt. Ltd. investor protection violation2012$30,910
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003$31,555
DB Investment Managers, Inc. investor protection violation2005$33,159
Investment Research Corp investor protection violation2019$33,188
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018$33,848
Liberty Capital Group, Inc. investor protection violation2000$35,000
Alta Communications investor protection violation2017$35,000
Cypress Advisors investor protection violation2017$35,000
TRH Financial LLC investor protection violation2017$35,000
Jim Poe and Associates, Inc. investor protection violation2013$35,000
Consultiva Internacional, Inc. investor protection violation2012$35,000
CytoDyn Inc. accounting fraud or deficiencies2019$35,000
Black Spade Acquisition Co investor protection violation2023$35,000
ReShape Lifesciences Inc. investor protection violation2023$35,000
Client One Securities, LLC investor protection violation2019$35,275
Henley & Company Wealth Management LLC investor protection violation2019$36,866
Cotterman-Wilson CPAs, Inc investor protection violation2015$36,897
Rosenberg Rich Baker Berman & Company investor protection violation2013$37,000
The Legal Funding Group of Georgia, LLC investor protection violation2022$37,500
U.S. Wind Farming, Inc. investor protection violation2006$38,487
Syndicated Capital, Inc. investor protection violation2019$38,991
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Financial Fiduciaries, LLC investor protection violation2018$40,000
360 Financial, Inc. investor protection violation2017$40,000
Commerce Bank Capital Markets Group investor protection violation2015$40,000
Estrada Hinojosa & Company, Inc. investor protection violation2015$40,000
1st Discount Brokerage, Inc. investor protection violation2012$40,000
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005$40,000
Renberg Capital Management, Inc. investor protection violation2002$40,000
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002$40,000
Tiffany Capital Advisors, Inc. investor protection violation2001$40,000
Prospera Financial Services, Inc. investor protection violation2000$40,000
Charter Capital Management, LLC investor protection violation2019$40,000
Amadeus Wealth Advisors, LLC investor protection violation2019$40,000
Naya Ventures, LLC investor protection violation2020$40,000
Navian Capital Securities LLC investor protection violation2020$40,000
Principal Solar Inc. investor protection violation2023$40,000
GGToor, Inc. investor protection violation2023$40,000
Moloney Securities Co., Inc. investor protection violation2016$41,500
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.