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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
Beespoke Capital, Inc. investor protection violation2023$5,196,518
Apex Financial Advisors Inc. investor protection violation2023$130,000
Bluestone Capital Management LLC investor protection violation2023$75,000
Disruptive Technology Advisers LLC investor protection violation2023$225,000
Lloyd George Management (HK) Limited investor protection violation2023$50,000
Prime Group Holdings LLC investor protection violation2023$20,500,000
The Eideard Group, LLC investor protection violation2023$80,000
SQN Capital Management, LLC investor protection violation2023$200,000
Archipelago Trading Services Inc. investor protection violation2023$1,500,000
Bittrex Inc. investor protection violation2023$24,000,000
Impact Theory, LLC investor protection violation2023$6,100,000
Legacy Hospitality II, LLC investor protection violation2023$3,892,012
Legendary Capital REIT III, LLC investor protection violation2023$774,331
Alpine 4 Holdings, Inc. investor protection violation2023$60,000
Black Spade Acquisition Co investor protection violation2023$35,000
Fundrise Advisors, LLC investor protection violation2023$250,000
Omnia Wellness Inc. investor protection violation2023$60,000
ReShape Lifesciences Inc. investor protection violation2023$35,000
Vivic Corp. investor protection violation2023$60,000
Titan Global Capital Management USA LLC investor protection violation2023$1,042,454
Collaborative Financial Consulting LLC investor protection violation2023$20,000
D. E. Shaw & Co., L.P. investor protection violation2023$10,000,000
Robert W. Baird & Co. Inc. investor protection violation2023$15,000,000
William Blair & Company LLC investor protection violation2023$10,000,000
Perella Weinberg Partners LP investor protection violation2023$2,500,000
DBRS Inc. investor protection violation2023$6,000,000
Kroll Bond Rating Agency, LLC investor protection violation2023$4,000,000
Nano-X Imaging Ltd. investor protection violation2023$650,000
Luther Speight & Company, LLC investor protection violation2023$20,000
Appomattox Advisory, Inc. investor protection violation2023$150,000
Florence Capital Advisors, LLC investor protection violation2023$200,000
Maxim Group, LLC investor protection violation2023$800,000
Spruce Power Holding Corporation investor protection violation2023$11,000,000
Osaic Wealth, Inc. investor protection violation2023$100,000
FSC Securities Corporation investor protection violation2023$100,000
Salomon Whitney LLC investor protection violation2023$236,173
Forepont Capital LLC investor protection violation2023$150,000
Apexium Financial LP investor protection violation2023$150,000
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
Hyzon Motors Inc. fraud2023$25,000,000
AssetMark Inc. investor protection violation2023$18,000,000
Bruderman Asset Management LLC investor protection violation2023$250,000
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
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
GGToor, Inc. investor protection violation2023$40,000
Summit Planning Group, Inc. investor protection violation2023$109,401
Laidlaw & Company (UK) Ltd. investor protection violation2023$822,884
Bell Rock Capital, LLC investor protection violation2023$1,509,048
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
Brooge Energy Limited investor protection violation2023$5,000,000
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
Van Eck Associates Corporation investor protection violation2024$1,750,000
Guggenheim Securities LLC investor protection violation2024$15,000,000
Cambridge Investment Research Inc. investor protection violation2024$10,000,000
Key Investment Services LLC investor protection violation2024$10,000,000
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
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
HG Vora Capital Management LLC investor protection violation2024$950,000
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
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.