Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
Moloney Securities Co., Inc. investor protection violation2016$41,500
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Financial Fiduciaries, LLC investor protection violation2018$40,000
360 Financial, Inc. investor protection violation2017$40,000
Commerce Bank Capital Markets Group investor protection violation2015$40,000
Estrada Hinojosa & Company, Inc. investor protection violation2015$40,000
1st Discount Brokerage, Inc. investor protection violation2012$40,000
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc investor protection violation2005$40,000
Renberg Capital Management, Inc. investor protection violation2002$40,000
Pryor, McClendon, Counts & Co., Inc. investor protection violation2002$40,000
Tiffany Capital Advisors, Inc. investor protection violation2001$40,000
Prospera Financial Services, Inc. investor protection violation2000$40,000
Charter Capital Management, LLC investor protection violation2019$40,000
Amadeus Wealth Advisors, LLC investor protection violation2019$40,000
Naya Ventures, LLC investor protection violation2020$40,000
Navian Capital Securities LLC investor protection violation2020$40,000
Principal Solar Inc. investor protection violation2023$40,000
GGToor, Inc. investor protection violation2023$40,000
Syndicated Capital, Inc. investor protection violation2019$38,991
U.S. Wind Farming, Inc. investor protection violation2006$38,487
The Legal Funding Group of Georgia, LLC investor protection violation2022$37,500
Rosenberg Rich Baker Berman & Company investor protection violation2013$37,000
Cotterman-Wilson CPAs, Inc investor protection violation2015$36,897
Henley & Company Wealth Management LLC investor protection violation2019$36,866
Client One Securities, LLC investor protection violation2019$35,275
Liberty Capital Group, Inc. investor protection violation2000$35,000
Alta Communications investor protection violation2017$35,000
Cypress Advisors investor protection violation2017$35,000
TRH Financial LLC investor protection violation2017$35,000
Jim Poe and Associates, Inc. investor protection violation2013$35,000
Consultiva Internacional, Inc. investor protection violation2012$35,000
CytoDyn Inc. accounting fraud or deficiencies2019$35,000
Black Spade Acquisition Co investor protection violation2023$35,000
ReShape Lifesciences Inc. investor protection violation2023$35,000
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018$33,848
Investment Research Corp investor protection violation2019$33,188
DB Investment Managers, Inc. investor protection violation2005$33,159
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003$31,555
Ambit Capital Pvt. Ltd. investor protection violation2012$30,910
Park Financial Group, Inc. investor protection violation2007$30,373
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014$30,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013$30,000
School Business Consulting, Inc investor protection violation2016$30,000
IMC Asset Management, Inc. investor protection violation2013$30,000
Egan-Jones Ratings Company investor protection violation2013$30,000
Park View School, Inc. investor protection violation2020$30,000
Funding the Gap, LLC investor protection violation2020$30,000
Credicorp Capital Advisors LLC investor protection violation2024$30,000
Monex Asset Management Inc. investor protection violation2024$30,000
Prescient Capital Partners, Ltd. investor protection violation2012$29,968
Santos, Postal & Company, P.C. investor protection violation2016$29,076
JC Management, Inc. investor protection violation2004$27,991
Securities Compliance Group, Ltd. investor protection violation2018$27,655
vFinance Investments, Inc. investor protection violation2008$26,559
Clear Scope Advisors, Inc. investor protection violation2019$25,678
American Registrar & Transfer Company investor protection violation2016$25,649
APT MotoVox Group Inc. investor protection violation2014$25,000
CoroWare Inc. investor protection violation2014$25,000
MineralRite Corporation investor protection violation2014$25,000
Monster Arts Inc. investor protection violation2014$25,000
Red Giant Entertainment Inc. investor protection violation2014$25,000
Worthington Energy Inc. investor protection violation2014$25,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009$25,000
Financial Asset Management, Inc. accounting fraud or deficiencies2002$25,000
Loop Capital Markets, LLC investor protection violation2017$25,000
Jaypee International, Inc. investor protection violation2017$25,000
Berman & Company, P.A. investor protection violation2017$25,000
Dupree Financial Group, LLC investor protection violation2016$25,000
Bluefire Renewables, Inc. investor protection violation2016$25,000
Messineo & Co., CPAs, LLC investor protection violation2015$25,000
New Line Capital, LLC investor protection violation2015$25,000
Eureeca Capital SPC investor protection violation2014$25,000
Colorado Financial Service Corporation investor protection violation2014$25,000
Revolutionary Concepts, Inc. investor protection violation2018$25,000
Pinnacle Capital Markets LLC investor protection violation2010$25,000
United Global Securities, Inc. investor protection violation2009$25,000
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
Cardiff Lexington Corporation investor protection violation2018$25,000
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
FCA Corp. investor protection violation2006$25,000
Freedom Financial, Inc. investor protection violation2004$25,000
Mid-Ohio Securities Corp. investor protection violation2003$25,000
Harvest Financial Corporation investor protection violation2003$25,000
Hawthorne Associates, Inc. investor protection violation2001$25,000
CGI Capital, Inc. investor protection violation2000$25,000
First Colonial Securities Group, Inc. investor protection violation2000$25,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000$25,000
Frontier Oilfield Services, Inc. investor protection violation2018$25,000
Dale Scott & Company, Inc. investor protection violation2019$25,000
SoluTech, Inc. investor protection violation2020$25,000
Applied BioSciences Corp. investor protection violation2020$25,000
Fortem Resources, Inc. investor protection violation2021$25,000
TruTankless, Inc. investor protection violation2021$25,000
ShiftPixy, Inc. investor protection violation2021$25,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021$25,000
Igen Networks Corp. investor protection violation2021$25,000
Emperor Investments, Inc. investor protection violation2021$25,000
Canton Hathaway LLC investor protection violation2021$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.