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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
ITG Inc. investor protection violation2015$20,300,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015$20,000,000
ABS Manager investor protection violation2015$1,087,648
The Baker Group, LP investor protection violation2015$250,000
B.C. Ziegler and Company investor protection violation2015$250,000
Benchmark Securities, LLC investor protection violation2015$100,000
Bernardi Securities, Inc. investor protection violation2015$100,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015$250,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015$120,000
BOSC, Inc. investor protection violation2015$250,000
Central States Capital Markets, LLC investor protection violation2015$60,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
City Securities Corporation investor protection violation2015$250,000
Davenport & Company LLC investor protection violation2015$80,000
Dougherty & Co. LLC investor protection violation2015$250,000
First National Capital Markets, Inc. investor protection violation2015$100,000
George K. Baum & Company investor protection violation2015$250,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
L.J. Hart and Company investor protection violation2015$100,000
Loop Capital Markets, LLC investor protection violation2015$60,000
Martin Nelson & Co., Inc. investor protection violation2015$100,000
Merchant Capital, L.L.C. investor protection violation2015$100,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
Robert W. Baird & Co. Incorporated investor protection violation2015$500,000
Siebert Brandford Shank & Co., LLC investor protection violation2015$240,000
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Stephens Inc. investor protection violation2015$400,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
Wells Nelson & Associates, LLC investor protection violation2015$100,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Sand Hill Exchange investor protection violation2015$20,000
China Valves Technology Inc. investor protection violation2015$575,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
BioChemics Inc. investor protection violation2015$17,897,887
H.D. Vest Investment Securities investor protection violation2015$225,000
VCAP Securities investor protection violation2015$1,477,332
F-Squared Investments investor protection violation2014$35,000,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
APT MotoVox Group Inc. investor protection violation2014$25,000
CoroWare Inc. investor protection violation2014$25,000
ERF Wireless Inc. investor protection violation2014$50,000
Green Automotive Company investor protection violation2014$50,000
MineralRite Corporation investor protection violation2014$25,000
Mondial Ventures Inc. investor protection violation2014$50,000
Monster Arts Inc. investor protection violation2014$25,000
Red Giant Entertainment Inc. investor protection violation2014$25,000
Seaniemac International Ltd. investor protection violation2014$50,000
Worthington Energy Inc. investor protection violation2014$25,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
Hapoalim Securities USA investor protection violation2014$54,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
Lebenthal & Co. investor protection violation2014$54,000
National Securities Corporation investor protection violation2014$60,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Riedl First Securities Co. of Kansas investor protection violation2014$130,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
OTC Solutions LLC investor protection violation2014$373,239
Athena Capital Research investor protection violation2014$1,000,000
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
Tradebot Systems Inc. investor protection violation2014$50,000
Lincolnshire Management investor protection violation2014$2,300,000
Strategic Capital Group LLC investor protection violation2014$586,290
Latour Trading LLC investor protection violation2014$16,000,000
Advent Capital Management investor protection violation2014$144,128
Antipodean Advisors investor protection violation2014$93,672
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
East Side Holdings II investor protection violation2014$157,010
Explorador Capital Management investor protection violation2014$155,658
Formula Growth investor protection violation2014$111,743
Great Point Partners investor protection violation2014$109,597
Indaba Capital Management investor protection violation2014$304,185
Ironman Capital Management investor protection violation2014$87,226
Midwood Capital Management investor protection violation2014$142,947
RA Capital Management investor protection violation2014$3,624,359
Rockwood Investment Management investor protection violation2014$237,988
Seawolf Capital investor protection violation2014$296,937
Solus Alternative Asset Management investor protection violation2014$105,495
SuttonBrook Capital Management investor protection violation2014$70,000
Troubh Partners investor protection violation2014$408,710
Vinci Partners Investimentos investor protection violation2014$448,707
Whitebox Advisors investor protection violation2014$1,202,924
Advanced Cell Technology investor protection violation2014$375,000
Linkbrokers Derivatives LLC investor protection violation2014$14,000,000
AIC Inc. investor protection violation2014$66,760,521
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Liquidnet Inc. investor protection violation2014$2,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.