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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 TypeYear sort iconPenalty Amount
Kahn Brothers Advisors, LLC investor protection violation2022$847,899
Adirondack Financial Services Corp. investor protection violation2022$25,000
Alphacentric Advisors LLC investor protection violation2022$300,000
Garrison Point Capital, LLC investor protection violation2022$3,500,000
TenarisTechintdiversifiedForeign Corrupt Practices Act2022$78,000,000
SCWorx Corp. investor protection violation2022$125,000
Madison Avenue Securities, LLC investor protection violation2022$803,173
RiverSource Distributors Inc. investor protection violation2022$5,000,000
RiverSource Distributors, Inc. investor protection violation2022$5,000,000
TradeZero America Inc. investor protection violation2022$100,000
TradeZero America, Inc. investor protection violation2022$100,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022$1,500,000
Virtua Capital Management, LLC investor protection violation2022$1,864,089
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022$7,000,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022$1,825,953
Prosperity Economics Partners LLC and Partners for Prosperity LLC investor protection violation2022$1,024,484
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022$5,500,000
Perini Capital, LLC investor protection violation2022$115,000
BTIG, LLC investor protection violation2022$690,000
True Link Financial Advisors, LLC investor protection violation2022$200,000
Maplelane Capital LLC investor protection violation2022$824,041
Medley Management investor protection violation2022$10,000,000
Wealth Plus, Inc. investor protection violation2022$398,232
Highpoint Advisor Group, LLC investor protection violation2022$764,737
ARS Capital Advisors, Inc. investor protection violation2022$25,000
Stericycle, Inc.Stericyclewaste management and environmental servicesForeign Corrupt Practices Act2022$28,200,000
The Legal Funding Group of Georgia, LLC investor protection violation2022$37,500
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022$8,000,000
Global Investment Strategy UK Ltd. investor protection violation2022$1,000,000
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022$3,625,263
Stockman Kast Ryan & Co. LLP investor protection violation2022$96,384
Spruce Investment Advisors, LLC investor protection violation2022$75,000
Goldstone Financial Group, LLC investor protection violation2022$70,000
Alumni Ventures Group, LLC investor protection violation2022$5,400,000
Educators Financial Services, Inc. investor protection violation2022$1,107,490
City National Rochdale, LLC investor protection violation2022$30,361,803
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$25,000,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022$100,000,000
Egan-Jones Ratings Company investor protection violation2022$1,846,000
Voxeljet AG investor protection violation2022$175,000
Corona Associates Capital Management, LLC investor protection violation2022$50,000
Hamilton Investment Counsel, LLC investor protection violation2022$150,000
Geluk Capital Management Ltd. investor protection violation2022$92,688
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022$400,000
GOL Linhas Aereas Inteligentes S.A. Foreign Corrupt Practices Act2022$24,500,000
StarVest Management, Inc. investor protection violation2022$70,000
Highland Capital Partners LLC investor protection violation2022$95,000
Asset Management Group of Bank of Hawaii investor protection violation2022$45,000
Canaan Management, LLC investor protection violation2022$95,000
Loop Capital Markets, LLC investor protection violation2022$105,456
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022$956,833
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022$152,955
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$143,215
TBG Holdings Corporation investor protection violation2022$100,000
Buckman Advisory Group, LLC investor protection violation2022$75,000
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022$79,700,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022$8,000,000
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022$200,000
Ambassador Advisors, LLC investor protection violation2022$622,642
Legacy Funding Services, LLC investor protection violation2022$60,000
BiscayneAmericas Advisers L.L.C. investor protection violation2022$135,000
Lend Academy Investments, LLC investor protection violation2022$75,000
Ridgeview Asset Management Partners, LLC investor protection violation2022$70,000
QVR, LLC investor protection violation2022$50,000
Polaris Equity Management, Inc. investor protection violation2022$50,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022$150,000
Garrison Investment Group LP investor protection violation2022$330,000
Titan Fund Management, LLC investor protection violation2022$95,000
Steward Capital Management, Inc. investor protection violation2022$75,000
NPA Asset Management, LLC investor protection violation2022$711,628
Charles Pratt & Company, LLC investor protection violation2022$100,000
Perceptive Advisors LLC investor protection violation2022$1,500,000
Aventura Capital Management, LLC investor protection violation2022$938,756
Energy Innovation Capital Management, LLC investor protection violation2022$853,681
Spartan Securities Group, LTD investor protection violation2022$250,000
Island Capital Management LLC, d/b/a Island Stock Transfer investor protection violation2022$404,394
Kovack Advisors, Inc. investor protection violation2022$899,513
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022$12,000,000
Taronis Technologies, Inc. investor protection violation2022$5,107,900
The Bancorp, Inc. investor protection violation2022$1,750,000
CKB168 Holdings Ltd. Et al. investor protection violation2022$182,624,545
Eagle Bancorp, Inc. investor protection violation2022$13,350,493
IMC Chicago, LLC investor protection violation2022$125,000
Angel Oak Capital Advisors, LLC investor protection violation2022$1,750,000
GreneCo, LLC investor protection violation2022$414,364
Womack Investment Advisers, Inc. investor protection violation2022$677,955
IFP Advisors, LLC investor protection violation2022$400,000
Surgalign Holdings, Inc. investor protection violation2022$2,000,000
Deccan Value Investors LP investor protection violation2022$1,139,501
Crown Bridge Partners, LLC investor protection violation2022$9,200,908
Aegis Capital Corp. investor protection violation2022$2,520,865
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022$1,200,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
TradeStation Securities, Inc. investor protection violation2022$425,000
Mesirow Financial Investment Management, Inc. investor protection violation2022$752,834
Private Advisor Group, LLC investor protection violation2022$5,800,000
Health Insurance Innovations investor protection violation2022$11,000,000
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022$50,000,000
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022$200,000,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.