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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020$176,399
SQN Capital Management, LLC investor protection violation2020$75,000
Signature Financial Services, Ltd. investor protection violation2020$276,580
National Financial Services LLC investor protection violation2020$2,461,193
Vstock Transfer LLC investor protection violation2020$65,000
NPB Financial Group, LLC investor protection violation2020$1,050,188
SCF Investment Advisors, Inc. investor protection violation2020$767,192
Boon Tech investor protection violation2020$5,600,334
Rialto Capital Management, LLC investor protection violation2020$350,000
WBI Investments Inc. investor protection violation2020$750,000
Millington Securities Inc. investor protection violation2020$250,000
Birinyi Associates, Inc. investor protection violation2020$100,000
Celadon Financial Group LLC investor protection violation2020$125,000
IRTH Communications, LLC investor protection violation2020$74,233
First Western Capital Management Company investor protection violation2020$200,000
Abetterfinancialplan.Com, LLC investor protection violation2020$581,962
Plutus Technologies Philippines Corp. investor protection violation2020$150,000
BNB Wealth Management, LLC investor protection violation2020$74,417
Telegram Group Inc. investor protection violation2020$18,500,000
Spiderworx Media LLC investor protection violation2020$60,000
An L.A. Minute LLC investor protection violation2020$100,000
Winston Reed Investments LLC investor protection violation2020$255,850
Benjamin F. Edwards & Company, Inc. investor protection violation2020$1,366,551
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. investor protection violation2020$1,305,660
Summit Financial Group, Inc. investor protection violation2020$1,206,882
Capitol Securities Management, Inc. investor protection violation2020$203,414
Tradenet Capital Markets Ltd. investor protection violation2020$130,000
EDG Management Company, LLC investor protection violation2020$1,026,642
Kik Interactive Inc. investor protection violation2020$5,000,000
Great Plains Trust Company, Inc. investor protection violation2020$300,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. investor protection violation2020$250,000
Manitex International, Inc. et al. investor protection violation2020$485,000
Kroll Bond Rating Agency Inc. investor protection violation2020$2,010,000
Interface Inc. accounting fraud or deficiencies2020$5,000,000
Creative Financial Designs, Inc. investor protection violation2020$890,240
Hancock Whitney Investment Services, Inc. investor protection violation2020$2,337,792
Funding the Gap, LLC investor protection violation2020$30,000
SoluTech, Inc. investor protection violation2020$25,000
Power Solutions International Inc. accounting fraud or deficiencies2020$1,700,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020$1,250,000
Finser International Corporation investor protection violation2020$70,000
Platinum Wealth Partners, Inc. investor protection violation2020$1,330,847
Morgan Wilshire Securities, Inc. investor protection violation2020$179,017
Palmer Square Capital Management LLC investor protection violation2020$450,000
RCI Hospitality Holdings, Inc. investor protection violation2020$400,000
Bolton Securities Corporation investor protection violation2021$224,994
World Tree Financial, LLC investor protection violation2021$647,947
Winslow and Evans & Crocker, Inc. investor protection violation2021$1,851,787
Premier Holding Corp. investor protection violation2021$9,691,500
Lightspeed Trading, LLC investor protection violation2021$100,000
Wireline, Inc. investor protection violation2021$650,000
ConTXT, Inc investor protection violation2021$571,153
OTR, Inc. investor protection violation2020$10,000
Genesis E&P, Inc. investor protection violation2020$192,768
Tierion, Inc. investor protection violation2020$250,000
First Midstate Inc. investor protection violation2020$175,000
Virtu ITG Canada Corp. investor protection violation2020$200,000
Cormark Securities Inc. investor protection violation2020$800,000
ShipChain, Inc. investor protection violation2020$2,050,000
India Globalization Capital, Inc. investor protection violation2020$175,000
Luckin Coffee Inc. accounting fraud or deficiencies2020$180,000,000
ICE Data Pricing & Reference Data LLC investor protection violation2020$8,000,000
BlueCrest Capital Management Limited investor protection violation2020$170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020$1,000,000
Applied BioSciences Corp. investor protection violation2020$25,000
Bancwest Investment Services, Inc. investor protection violation2020$406,432
GWFS Equities Inc. anti-money-laundering deficiencies2021$1,500,000
Fortem Resources, Inc. investor protection violation2021$25,000
TruTankless, Inc. investor protection violation2021$25,000
ShiftPixy, Inc. investor protection violation2021$25,000
Rokk3r, Inc. investor protection violation2021$50,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021$25,000
HQDA Elderly Life Network Corp. investor protection violation2021$50,000
Asta Funding, Inc. investor protection violation2021$50,000
Igen Networks Corp. investor protection violation2021$25,000
Legacy Group, Inc. investor protection violation2021$502,726
Students of Strength, Inc. investor protection violation2021$222,517
VII Peaks Capital, LLC investor protection violation2021$1,030,699
Emperor Investments, Inc. investor protection violation2021$25,000
Centaurus Financial, Inc. investor protection violation2021$1,281,396
Mason Investment Advisory Services, Inc investor protection violation2021$975,057
Ettro Capital Management Corp. investor protection violation2021$60,000
Regal Investment Advisors LLC investor protection violation2021$846,774
BFC Planning, Inc. investor protection violation2021$305,811
App Annie Inc. investor protection violation2021$10,000,000
ProSky, Inc. investor protection violation2021$4,700,000
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. investor protection violation2021$539,000,000
DBRS, INC. investor protection violation2021$1,000,000
Rothschild Investment Corporation investor protection violation2021$2,471,667
JW Korth & Company L.P. investor protection violation2021$176,533
Diastole Wealth Management, Inc. investor protection violation2021$100,000
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Frontier Wealth Management, LLC investor protection violation2021$658,712
Pareteum Corporation investor protection violation2021$500,000
McDonald Partners, LLC investor protection violation2021$194,682
Cetera Advisor Networks LLC et al. investor protection violation2021$300,000
Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. investor protection violation2021$250,000
Cantella & Co., Inc. investor protection violation2021$701,630
Educators Financial Services, Inc. investor protection violation2021$790,365
Crews & Associates Inc. investor protection violation2021$244,072
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021$1,957,053
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.