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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 Industry sort iconPrimary Offense TypeYearPenalty Amount
Spring Hill Capital Markets, LLC, et al. investor protection violation2019$485,803
The Options Clearing Corporation investor protection violation2019$15,000,000
The Parrish Group, LLC investor protection violation2019$184,767
TherapeuticsMD Inc. investor protection violation2019$200,000
Channing Capital Management, LLC investor protection violation2019$50,000
Portfolio Advisors Alliance investor protection violation2019$1,259,721
Golden California Regional Center, LLC investor protection violation2019$50,295,232
Capital Source Lending LLC investor protection violation2019$5,720,451
XBT Corp Sarl dba First Global Credit investor protection violation2019$131,952
Northwest Biotherapeutics, Inc. investor protection violation2019$250,000
Lek Securities Corp. investor protection violation2019$1,525,892
PlexCorps investor protection violation2019$4,911,613
Block.one investor protection violation2019$24,000,000
Bill Few Associates Inc. investor protection violation2019$2,398,304
Cargile Investment Management Inc. investor protection violation2019$70,140
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Equity Services Inc. investor protection violation2019$587,017
Essex Financial Services Inc. investor protection violation2019$645,000
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019$59,478
Henley & Company Wealth Management LLC investor protection violation2019$36,866
IC Advisory Services Inc. investor protection violation2019$1,195,186
Independent Financial Group LLC investor protection violation2019$1,426,150
Investment Partners Ltd. investor protection violation2019$43,384
IPG Investment Advisors LLC investor protection violation2019$85,294
Michigan Advisors Inc. investor protection violation2019$327,976
Saxony Capital Management LLC investor protection violation2019$230,220
Founders Financial Securities, LLC investor protection violation2019$1,475,465
Outset Global LLP investor protection violation2019$207,409
Nebulous, Inc. investor protection violation2019$224,601
Mid Atlantic Financial Management, Inc. investor protection violation2019$300,000
Longfin Corp. investor protection violation2019$6,755,848
Cutting Edge Business Services, Inc. investor protection violation2019$273,336
Westport Fuels Systems, Inc. Foreign Corrupt Practices Act2019$4,046,000
Omgeo Matching Services US, LLC investor protection violation2019$2,000,000
Harding Advisory LLC investor protection violation2019$850,000
Pinnacle Companies, LLC investor protection violation2019$1,112,000
Three Bridge Wealth Advisors, LLC investor protection violation2019$60,000
Amadeus Wealth Advisors, LLC investor protection violation2019$40,000
ECP Manager LP investor protection violation2019$122,656
BrixInvest, LLC investor protection violation2019$300,000
Cetera Investment Advisers LLC investor protection violation2019$185,000
Hefren-Tillotson, Inc. investor protection violation2019$379,965
Strong Investment Management investor protection violation2019$1,061,157
TMC Bonds LLC privacy violation2019$2,100,000
Strategic Planning Group, Inc. investor protection violation2019$200,000
HCR Wealth Advisors investor protection violation2019$220,000
The Bancorp, Inc. investor protection violation2019$1,400,000
Sigma Planning Corp. investor protection violation2019$2,546,718
Vandham Securities Corp. investor protection violation2019$200,000
Garrison Investment Group LP and Garrison Capital Advisers LLC investor protection violation2019$250,000
ED Capital Management, LLC investor protection violation2019$75,000
Bio Defense Corp. investor protection violation2019$37,475,717
Enigma MPC investor protection violation2020$500,000
Blockchain of Things Inc. investor protection violation2019$250,000
Hill International, Inc. accounting fraud or deficiencies2020$500,000
Palm Beach Atlantic Financial Group, LLC investor protection violation2019$75,000
Global Corporate Strategies LLC investor protection violation2019$4,120,000
Sica Wealth Management, LLC investor protection violation2020$378,693
Fortress Investment Management, LLC investor protection violation2020$104,097
Lone Star Value Management LLC investor protection violation2020$100,000
BPU Investment Management, Inc. investor protection violation2020$927,107
Cannell Capital, LLC investor protection violation2020$150,000
Catalyst Capital Advisors, LLC investor protection violation2020$10,508,481
Bluefin Trading, LLC investor protection violation2019$303,638
Critical Trading, LLC investor protection violation2019$219,092
Stonemor Partners L.P. and Stonemor GP LLC investor protection violation2019$250,000
Kornitzer Capital Management, Inc. investor protection violation2019$3,626,995
Argo Group International Holdings, Ltd. investor protection violation2020$900,000
TSP Capital Management Group, LLC investor protection violation2020$60,000
Oxbow Advisors, LLC investor protection violation2020$321,958
BitClave PTE Ltd investor protection violation2020$29,744,197
1Globe Capital, LLC investor protection violation2020$200,000
American Bondholders Foundation, LLC investor protection violation2020$65,000
Everest Capital LLC investor protection violation2020$3,208,226
Monsoon Capital, LLC investor protection violation2020$100,000
Semper Capital Management, L.P. investor protection violation2020$503,228
Biltmore International Corporation investor protection violation2020$125,000
Eagle Strategies LLC investor protection violation2020$101,090
Old Ironsides Energy, LLC investor protection violation2020$1,000,000
Cozad Asset Management, Inc. investor protection violation2020$416,870
Boenning & Scattergood, Inc. investor protection violation2020$205,567
Schulman Lobel Zand Katzen Williams & Blackman and LLP investor protection violation2020$98,510
Naya Ventures, LLC investor protection violation2020$40,000
BMA Securities, LLC investor protection violation2020$333,537
Stiefel Laboratories Inc. investor protection violation2020$26,510,000
Navellier & Associates, Inc. investor protection violation2020$37,478,190
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) investor protection violation2020$3,500,000
International Investment Group, LLC investor protection violation2020$35,000,000
The Lighthouse Events, LLC investor protection violation2020$3,381,686
Rock and Roll Cycles, LLC and Cycle For Life, Inc. investor protection violation2020$236,314
Hologram USA Networks Inc. investor protection violation2020$22,419
Strategic Capital Partners Muster Limited and Strategic Wealth Investments, Inc. investor protection violation2020$1,031,270
ICOBox investor protection violation2020$16,059,428
WCAS Management Corporation investor protection violation2020$100,000
Gilder Gagnon Howe & Co. LLC investor protection violation2020$1,700,000
Navian Capital Securities LLC investor protection violation2020$40,000
Coordinated Capital Securities, Inc. investor protection violation2020$581,961
Unikrn Inc. investor protection violation2020$6,100,000
Park View School, Inc. investor protection violation2020$30,000
Roosevelt & Cross, Inc. investor protection violation2020$1,017,015
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020$176,399
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.