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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
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023$1,975,000
TAL Education Group investor protection violation2023$1,250,000
Cloudastructure, Inc. investor protection violation2023$558,071
Hightimes Holding Corp investor protection violation2023$558,071
Cumberland Pharmaceuticals Inc. investor protection violation2023$200,000
AgEagle Aerial Systems Inc. investor protection violation2023$190,000
eXp World Holdings, Inc. investor protection violation2023$115,000
SolarEdge Technologies, Inc. investor protection violation2023$125,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
AssetMark Inc. investor protection violation2023$18,000,000
Bruderman Asset Management LLC investor protection violation2023$250,000
DWS Investment Management Americas Inc.Deutsche Bankfinancial servicesinvestor protection violation2023$25,000,000
Highlander Capital Management, LLC investor protection violation2023$150,000
Fieldman Rolapp & Associates, Inc. investor protection violation2023$127,916
Wellesley Asset Management, Inc investor protection violation2023$1,000,000
American Infrastructure Funds LLC investor protection violation2023$1,600,000
Citadel Securities LLC investor protection violation2023$7,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$6,000,000
J.H. Darbie & Co., Inc. investor protection violation2023$125,000
Carl M. Hennig, Inc. investor protection violation2023$50,000
Kandi Technologies Group, Inc. investor protection violation2023$710,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023$375,000
Lyft Inc.Lyft Inc.miscellaneous servicesinvestor protection violation2023$10,000,000
GGToor, Inc. investor protection violation2023$40,000
Summit Planning Group, Inc. investor protection violation2023$109,401
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023$28,000,000
Laidlaw & Company (UK) Ltd. investor protection violation2023$822,884
Bell Rock Capital, LLC investor protection violation2023$1,509,048
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023$2,500,000
Thor Technologies, Inc. investor protection violation2023$1,053,193
Anson Advisors Inc investor protection violation2023$3,330,394
Eagan Capital Management, LLC investor protection violation2023$50,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024$18,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$83,000,000
Brooge Energy Limited investor protection violation2023$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023$10,000,000
Medsis International, Inc. investor protection violation2024$15,871,200
OEP Capital Advisors, L.P. investor protection violation2023$4,000,000
BarnBridge DAO investor protection violation2023$1,457,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024$2,200,000
Van Eck Associates Corporation investor protection violation2024$1,750,000
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024$16,500,000
Guggenheim Securities LLC investor protection violation2024$15,000,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$12,000,000
Cambridge Investment Research Inc. investor protection violation2024$10,000,000
Key Investment Services LLC investor protection violation2024$10,000,000
Lincoln Financial Advisors CorporationLincoln Nationalfinancial servicesinvestor protection violation2024$8,500,000
U.S. Bancorp Investments Inc.U.S. Bancorpfinancial servicesinvestor protection violation2024$8,000,000
Huntington Investment Company investor protection violation2024$1,250,000
TradeStation Crypto, Inc. investor protection violation2024$1,500,000
Rockwell Capital Management investor protection violation2024$1,602,089
Northern Star Investment Corp. II investor protection violation2024$1,500,000
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024$1,542,187
SHE Beverage Company, Inc. investor protection violation2024$12,760,274
Comer Capital Group, LLC investor protection violation2024$55,000
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024$24,234,548
Adar Bays, LLC and Adar Alef, LLC investor protection violation2024$1,145,000
Grenda Group, LLC investor protection violation2024$400,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024$1,250,000
HG Vora Capital Management LLC investor protection violation2024$950,000
Lordstown Motors Corp.Lordstown Motorsmotor vehiclesinvestor protection violation2024$25,500,000
RenovaCare, Inc. investor protection violation2024$500,000
3D/L Capital Management, LLC investor protection violation2024$285,607
ShapeShift AG investor protection violation2024$275,000
Clark Schaefer Hackett & Co. investor protection violation2024$80,881
Contrarian Capital Management, L.L.C. investor protection violation2024$521,326
GeaSphere LLC investor protection violation2024$100,000
Bradesco Global Advisors Inc. investor protection violation2024$20,000
Credicorp Capital Advisors LLC investor protection violation2024$30,000
InSight Securities Inc. investor protection violation2024$20,000
Monex Asset Management Inc. investor protection violation2024$30,000
Senvest Management LLC investor protection violation2024$6,500,000
Genesis Global Capital, LLC investor protection violation2024$21,000,000
Delphia (USA) Inc. investor protection violation2024$225,000
Global Predictions Inc. investor protection violation2024$175,000
Volkswagen AGVolkswagenmotor vehiclesinvestor protection violation2024$48,750,000
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network investor protection violation2024$93,274,068
ClearPath Wealth Management, LLC investor protection violation2024$27,130,905
GA Investors investor protection violation2024$1,191,938
Advisor Resource Council investor protection violation2024$300,000
Halitron, Inc. investor protection violation2024$191,024
Wayzata Investment Partners LLC investor protection violation2024$60,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
Deephaven Capital Management, LLC insider trading2006$5,709,958
Zomax Inc. insider trading2005$2,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesillicit political contributions2012$12,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesillicit political contributions2016$12,000,000
TL Ventures Inc illicit political contributions2014$294,894
Investools Inc. fraud2009$3,000,000
Tri Energy, Inc. fraud2009$37,048,466
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Focus Financial Associates, Inc. and Focus Development Center, Inc. fraud2006$6,272,264
Emission Controls Corporation fraud2005$343,333
The Hartcourt Companies, Inc. fraud2005$832,598
CIBC Mellon Trust Company fraud2005$6,030,043
One Touch Marketing, Inc. fraud2004$1,608,102
National Investment Enterprises, Inc. fraud2004$2,602,490
Metropolis Holdings, LLC fraud2004$3,320,000
Tradamax Group, Inc. fraud2002$149,408
Bank of Bermuda fraud2001$67,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.