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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
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$35,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022$500,000
Sparkster Ltd investor protection violation2022$35,000,000
Wave Equity Partners LLC investor protection violation2022$325,000
Toews Corporation investor protection violation2022$150,000
Arcadia Wealth Management, Inc. investor protection violation2022$90,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022$2,500,000
PIC Renegade Properties, LLC investor protection violation2022$400,000
McDermott Investment Advisors, LLC investor protection violation2022$304,262
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022$1,300,000
Cetera Advisors, LLC and Cetera Advisor Networks, LLC investor protection violation2022$8,605,470
Elegance Brands et al. investor protection violation2022$2,500,000
Cemtrex, Inc. investor protection violation2022$2,200,000
Standard Oil Company, Inc. investor protection violation2022$150,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$361,000,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022$10,000,000
AT&TAT&Ttelecommunicationsinvestor protection violation2022$6,250,000
PFP Entrust Corp. investor protection violation2022$100,000
Two Point Capital Management, Inc. investor protection violation2022$75,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022$4,000,000
Legal & General Investment Management America, Inc. investor protection violation2022$500,000
In Ovations Holdings, Inc. investor protection violation2022$150,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023$5,000,000
Nexo Capital Inc. investor protection violation2023$22,500,000
Moors & Cabot, Inc. investor protection violation2023$1,899,456
National Trust and Fiduciary Services Company, Inc. investor protection violation2023$346,799
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
Exela Technologies, Inc. investor protection violation2022$175,000
Energy & Environmental Investments, LLC and Energy & Environment, Inc. investor protection violation2023$5,428,694
Back to Green Mining, LLC investor protection violation2023$3,442,175
African Gold Acquisition Corp. investor protection violation2023$103,591
Ensign Peak Advisers Inc. investor protection violation2023$4,000,000
Church of Jesus Christ of Latter-day Saints investor protection violation2023$1,000,000
HITE Hedge Asset Management LLC et al. investor protection violation2023$214,591
Candlestick Capital Management LP investor protection violation2023$810,000
The Options Clearing Corporation investor protection violation2023$17,000,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023$9,635,911
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023$30,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023$4,000,000
Centaurus Financial, Inc. investor protection violation2023$755,499
Activision Blizzard Inc.Microsoftinformation technologyinvestor protection violation2023$35,000,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023$3,000,000
Silver Edge Financial LLC investor protection violation2023$3,475,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023$1,000,000
E. Magnus Oppenheim & Co. Inc investor protection violation2023$50,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
Equity Acquisition Company Ltd. investor protection violation2023$3,917,436
Chembio Diagnostics, Inc. investor protection violation2023$500,000
Cambria Capital, LLC investor protection violation2023$100,000
Huntleigh Advisors, Inc. investor protection violation2023$843,502
Datatex Investment Services, Inc. investor protection violation2023$50,000
Foresight Wealth Management, LLC investor protection violation2023$1,893,486
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023$9,660,000
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023$18,800,000
Windy Inc. investor protection violation2023$89,979
Braverock Investments LLC investor protection violation2023$132,000
Betterment LLC investor protection violation2023$9,000,000
Corvex Management LP investor protection violation2023$1,000,000
Gaia Inc. investor protection violation2023$2,000,000
Chicago Crypto Capital LLC investor protection violation2023$1,071,686
CW Petroleum Corp. investor protection violation2023$5,000
DNA Brands Inc. investor protection violation2023$10,000
Graystone Company Inc. investor protection violation2023$25,000
Green Stream Holdings Inc. investor protection violation2023$75,000
Hemp Naturals Inc. investor protection violation2023$50,000
LiveWire Ergogenics Inc. investor protection violation2023$50,000
Principal Solar Inc. investor protection violation2023$40,000
SFLMaven Corp. investor protection violation2023$25,000
The Marquie Group Inc. investor protection violation2023$10,000
Verde Bio Holdings Inc. investor protection violation2023$90,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023$15,000,000
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
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
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023$275,000
RSE Markets Inc. investor protection violation2023$350,000
Foresee Inc. et al. investor protection violation2023$5,374,482
Insight Venture Management LLC investor protection violation2023$2,364,958
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.