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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
Virtu ITG Canada Corp. investor protection violation2020$200,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021$200,000
True Link Financial Advisors, LLC investor protection violation2022$200,000
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022$200,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
Simplex Trading, LLC investor protection violation2023$200,000
SQN Capital Management, LLC investor protection violation2023$200,000
Florence Capital Advisors, LLC investor protection violation2023$200,000
Cumberland Pharmaceuticals Inc. investor protection violation2023$200,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
Classic Asset Management LLC investor protection violation2023$195,228
McDonald Partners, LLC investor protection violation2021$194,682
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017$193,676
Genesis E&P, Inc. investor protection violation2020$192,768
W.J. Nolan & Co., Inc. investor protection violation2002$192,028
W.J. Nolan & Co. investor protection violation2001$192,028
BioElectronics, Corp. investor protection violation2018$191,640
Halitron, Inc. investor protection violation2024$191,024
Shelton Financial Group, Inc. investor protection violation2015$190,066
AgEagle Aerial Systems Inc. investor protection violation2023$190,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019$186,377
Financial Management Strategies, Inc. investor protection violation2019$185,083
Cetera Investment Advisers LLC investor protection violation2019$185,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
The Parrish Group, LLC investor protection violation2019$184,767
Essex Financial Services, Inc. investor protection violation2017$183,181
Feltl & Company, Inc. investor protection violation2016$183,128
Biltmore Wealth Management, LLC investor protection violation2018$183,043
Founding Partners Capital Management Compan investor protection violation2007$182,244
Sagent Wealth Management, LLC investor protection violation2017$181,110
Palestra Capital Management LLC investor protection violation2017$180,968
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Guardians Trustee, LLC investor protection violation2018$179,253
Morgan Wilshire Securities, Inc. investor protection violation2020$179,017
JW Korth & Company L.P. investor protection violation2021$176,533
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020$176,399
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016$175,000
Modern Portfolio Management Inc. investor protection violation2013$175,000
Drake Asset Management LLC investor protection violation2011$175,000
World Financial & Investment Co., Inc. investor protection violation2001$175,000
G Asset Management, LLC investor protection violation2015$175,000
First National Community Bancorp Inc investor protection violation2015$175,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002$175,000
Sterling Global Strategies LLC investor protection violation2018$175,000
First Midstate Inc. investor protection violation2020$175,000
India Globalization Capital, Inc. investor protection violation2020$175,000
Voxeljet AG investor protection violation2022$175,000
Exela Technologies, Inc. investor protection violation2022$175,000
Elm Partners Management LLC investor protection violation2023$175,000
Global Predictions Inc. investor protection violation2024$175,000
Canterbury Consulting, Inc. investor protection violation2017$172,986
Apex Fund Services (US), Inc. investor protection violation2016$171,836
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020$167,629
U.S. Gas & Electric, Inc. investor protection violation2006$167,000
Beacon Investment Management LLC investor protection violation2019$165,848
New York REIT, Inc. and New York Recovery Advisors, LLC investor protection violation2017$165,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016$160,000
Credit Karma, Inc. investor protection violation2018$160,000
PMB Helin Donovan, LLP investor protection violation2016$160,000
United Bankers' Bank investor protection violation2016$160,000
Mount Kellett Capital Management LP? investor protection violation2018$160,000
Biscayne Capital International, LLC investor protection violation2016$158,087
East Side Holdings II investor protection violation2014$157,010
Explorador Capital Management investor protection violation2014$155,658
M2 Law Professional Corp. investor protection violation2016$154,267
Kiely Financial Services, Inc. investor protection violation2004$154,256
Empire Stock Transfer, Inc. investor protection violation2016$154,239
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002$153,245
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022$152,955
Andover Brokerage, LLC investor protection violation2003$151,876
Northeast Asset Management, LLC investor protection violation2019$150,982
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016$150,000
EnviraTrends, Inc. investor protection violation2015$150,000
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014$150,000
Further Lane Asset Management investor protection violation2013$150,000
Lion Gate Capital, Inc. investor protection violation2009$150,000
Perry Corp. investor protection violation2009$150,000
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004$150,000
BellSouth CorporationAT&TtelecommunicationsForeign Corrupt Practices Act2002$150,000
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017$150,000
O'Connor & Company Securities, Inc. investor protection violation2017$150,000
Bradway Financial, LLC and Bradway Capital Management, LLC investor protection violation2017$150,000
Lebenthal & Co., LLC investor protection violation2017$150,000
Tri-Star Advisors, Inc. investor protection violation2015$150,000
Pekin Singer Strauss Asset Management Inc investor protection violation2015$150,000
SFX Financial Advisory Management Enterprises, Inc. investor protection violation2015$150,000
Consulting Services Group, LLC investor protection violation2015$150,000
Westend Capital Management, LLC investor protection violation2014$150,000
Willis Lease Finance Corporation investor protection violation2014$150,000
KMG Chemicals, Inc.Entegriselectrical and electronic equipmentinvestor protection violation2014$150,000
Jones Lang LaSalle IncorporatedJones Lang LaSallereal estateinvestor protection violation2014$150,000
Monness, Crespi, Hardt & Co., Inc. investor protection violation2014$150,000
Aria Partners GP, LLC investor protection violation2018$150,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
First Southwest Company investor protection violation2008$150,000
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Blue River Capital LLC investor protection violation2005$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.