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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
Charles Pratt & Company, LLC investor protection violation2022$100,000
PFP Entrust Corp. investor protection violation2022$100,000
Cambria Capital, LLC investor protection violation2023$100,000
Macroclimate LLC investor protection violation2023$100,000
Mortgage Industry Advisory Corporation investor protection violation2023$100,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
Osaic Wealth, Inc. investor protection violation2023$100,000
FSC Securities Corporation investor protection violation2023$100,000
GeaSphere LLC investor protection violation2024$100,000
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Schulman Lobel Zand Katzen Williams & Blackman and LLP investor protection violation2020$98,510
Cohen Klingenstein LLC investor protection violation2021$97,523
Embree Financial Group Inc. investor protection violation2021$97,523
Minot DeBlois Advisors LLC investor protection violation2021$97,523
Paratus Financial Inc. investor protection violation2021$97,523
Wall Street Access investor protection violation2022$97,523
Stockman Kast Ryan & Co. LLP investor protection violation2022$96,384
Pegasus Investment Management, LLC investor protection violation2011$95,469
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Trinad Management, LLC investor protection violation2014$95,000
Highland Capital Partners LLC investor protection violation2022$95,000
Canaan Management, LLC investor protection violation2022$95,000
Titan Fund Management, LLC investor protection violation2022$95,000
JCSD Capital, LLC investor protection violation2012$94,222
Fortius Financial Advisors, LLC investor protection violation2016$94,070
Antipodean Advisors investor protection violation2014$93,672
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Geluk Capital Management Ltd. investor protection violation2022$92,688
FP Resources USA Inc investor protection violation2018$92,383
Lobster Point Holdings Limited investor protection violation2018$92,383
StateTrust Investments, Inc. investor protection violation2015$90,000
Rothman Securities, Inc. investor protection violation2014$90,000
Arcadia Wealth Management, Inc. investor protection violation2022$90,000
Verde Bio Holdings Inc. investor protection violation2023$90,000
Windy Inc. investor protection violation2023$89,979
Security Capital Research & Management Incorporated investor protection violation2014$88,000
OTC Global Partners, LLC investor protection violation2016$87,499
Ironman Capital Management investor protection violation2014$87,226
NW Capital Markets Inc. investor protection violation2018$87,065
NW Capital Markets Inc. investor protection violation2018$87,065
Malachi Financial Products, Inc. investor protection violation2018$85,858
Tier One, Inc. investor protection violation2007$85,500
IPG Investment Advisors LLC investor protection violation2019$85,294
Integral Financial, LLC investor protection violation2021$85,000
MRA Advisory Group investor protection violation2023$85,000
Talkot Capital investor protection violation2013$84,537
Harvest Capital Strategies LLC investor protection violation2015$84,454
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014$84,101
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021$83,582
Clark Schaefer Hackett & Co. investor protection violation2024$80,881
Davenport & Company LLC investor protection violation2015$80,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Equidate Inc. investor protection violation2016$80,000
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017$80,000
Columbia River Advisors, LLC investor protection violation2017$80,000
Electronic Transaction Clearing Inc. investor protection violation2018$80,000
Sharespost, Inc. investor protection violation2012$80,000
Hedgeable Inc. investor protection violation2018$80,000
The Eideard Group, LLC investor protection violation2023$80,000
Lightspeed Trading LLC investor protection violation2009$77,260
Keypoint Capital Management, LLC investor protection violation2015$77,250
Coastal Investment Advisors, Inc. investor protection violation2019$76,144
Sherb & Co. LLP accounting fraud or deficiencies2013$75,000
Commonwealth Venture Management Corporation investor protection violation2017$75,000
FFL Partners investor protection violation2017$75,000
Lime Rock Management investor protection violation2017$75,000
Pershing Square Capital Management investor protection violation2017$75,000
The Banc Funds Company investor protection violation2017$75,000
Landwin Management, LLC investor protection violation2017$75,000
Tellone Management Group, Inc. investor protection violation2017$75,000
Cytrx CorporationCytRxpharmaceuticalsinvestor protection violation2017$75,000
Orinda Asset Management, LLC investor protection violation2016$75,000
Hyperdynamics Corporation investor protection violation2015$75,000
R.T. Jones Capital Equities Management, Inc. investor protection violation2015$75,000
Tel-Instrument Electronics Corp. investor protection violation2014$75,000
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014$75,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014$75,000
Dominick & Dominick LLC investor protection violation2014$75,000
Stock Markets Institute, Inc. investor protection violation2012$75,000
Spencer International Advisors, Inc. investor protection violation2010$75,000
Bachrach Asset Management Inc. investor protection violation2018$75,000
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor protection violation2018$75,000
Brahma Management Ltd. investor protection violation2018$75,000
Bristol Group Inc. investor protection violation2018$75,000
CAI Managers & Co. L.P. investor protection violation2018$75,000
Cherokee Investment Partners LLC investor protection violation2018$75,000
Ecosystem Investment Partners LLC investor protection violation2018$75,000
Elm Partners Management LLC investor protection violation2018$75,000
HEP Management Corp. investor protection violation2018$75,000
Prescott General Partners LLC investor protection violation2018$75,000
RLJ Equity Partners LLC investor protection violation2018$75,000
Rose Park Advisors LLC investor protection violation2018$75,000
Veteri Place Corp. investor protection violation2018$75,000
BKS Advisors LLC investor protection violation2018$75,000
New Silk Route Advisors, L.P. investor protection violation2018$75,000
Cool Technologies Inc. investor protection violation2018$75,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002$75,000
Performance Analytics, Inc. investor protection violation2002$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.