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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
Coral Reef Media, LLC investor protection violation2015$52,395
Manhattan Transfer Registrar Company investor protection violation2018$52,493
Secondmarket, Inc. investor protection violation2016$53,755
Hapoalim Securities USA investor protection violation2014$54,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
Lebenthal & Co. investor protection violation2014$54,000
Eric Hall & Associates, LLC investor protection violation2018$54,761
Lerner & Sipkins CPAs LLC accounting fraud or deficiencies2014$55,000
Merchant Capital, L.L.C. investor protection violation2009$55,000
JPR Capital Corp. investor protection violation2001$55,000
Comer Capital Group, LLC investor protection violation2024$55,000
DynamicDaytrader.com investor protection violation2000$55,107
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
West Coast Asset Management, Inc. investor protection violation2013$56,186
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014$56,400
Azarmehr Law Group investor protection violation2015$57,965
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019$59,478
Central States Capital Markets, LLC investor protection violation2015$60,000
Loop Capital Markets, LLC investor protection violation2015$60,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
National Securities Corporation investor protection violation2014$60,000
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
Knelman Asset Management Group investor protection violation2013$60,000
Advantage Investment Management, LLC investor protection violation2016$60,000
Municipal Capital Markets Group, Inc. investor protection violation2016$60,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015$60,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015$60,000
Lazarus Management Company LLC investor protection violation2014$60,000
JSK Associates, Inc. investor protection violation2011$60,000
Sands Brothers Asset Management LLC investor protection violation2010$60,000
Axiom Capital Management, Inc. investor protection violation2010$60,000
MCL Financial Group, Inc. investor protection violation2007$60,000
Three Bridge Wealth Advisors, LLC investor protection violation2019$60,000
TSP Capital Management Group, LLC investor protection violation2020$60,000
Spiderworx Media LLC investor protection violation2020$60,000
Ettro Capital Management Corp. investor protection violation2021$60,000
Legacy Funding Services, LLC investor protection violation2022$60,000
Benecke Economics investor protection violation2023$60,000
McElhenny Sheffield Capital Management LLC investor protection violation2023$60,000
Trowbridge Capital Partners LLC investor protection violation2023$60,000
Alpine 4 Holdings, Inc. investor protection violation2023$60,000
Omnia Wellness Inc. investor protection violation2023$60,000
Vivic Corp. investor protection violation2023$60,000
Wayzata Investment Partners LLC investor protection violation2024$60,000
DKM Certified Public Accountants, Inc. investor protection violation2015$60,043
Cygs, LLC investor protection violation2017$60,879
Axius Holdings, LLC investor protection violation2014$60,881
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Select Money Management, Inc. investor protection violation2019$61,558
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
Rudney Associates, Inc. investor protection violation2004$62,330
First Citizens Asset Management, Inc. investor protection violation2019$62,418
Hard Asset Management, Inc. investor protection violation2004$62,439
EFG Asset Management (Americas) Corp. investor protection violation2019$62,505
Weinberg & Baer LLC accounting fraud or deficiencies2018$62,899
SMP Investments I, LLC investor protection violation2015$63,750
Lichter, Yu and Associates, Inc., et al.? investor protection violation2018$64,900
NATCO Group Inc.Schlumbergeroilfield services and suppliesForeign Corrupt Practices Act2010$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$65,000
Hudson Housing Capital LLC investor protection violation2018$65,000
American Bondholders Foundation, LLC investor protection violation2020$65,000
Vstock Transfer LLC investor protection violation2020$65,000
Del Mar Asset Management, LP investor protection violation2014$66,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
P.A.W. Capital Partners, L.P. investor protection violation2014$68,000
RIMA Senvest Management, LLC investor protection violation2014$68,000
Sankaty Advisors, LLC investor protection violation2014$68,000
Owen-Joseph Asset Management Corp.? investor protection violation2000$68,000
First New York Securities L.L.C. investor protection violation2009$69,008
Credentia Group investor protection violation2013$69,204
SuttonBrook Capital Management investor protection violation2014$70,000
Sunset Investment Group, Inc. investor protection violation2001$70,000
Finser International Corporation investor protection violation2020$70,000
CMG Capital Management Group, Inc. investor protection violation2022$70,000
Goldstone Financial Group, LLC investor protection violation2022$70,000
StarVest Management, Inc. investor protection violation2022$70,000
Ridgeview Asset Management Partners, LLC investor protection violation2022$70,000
Cargile Investment Management Inc. investor protection violation2019$70,140
Li & Co. accounting fraud or deficiencies2018$70,143
Aisling Capital investor protection violation2017$70,456
MedCap Management & Research LLC investor protection violation2008$70,632
Metis Wealth Advisors, LLC investor protection violation2015$71,489
PLS, CPA investor protection violation2021$73,028
Merus Capital Partners investor protection violation2013$73,465
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
IRTH Communications, LLC investor protection violation2020$74,233
BNB Wealth Management, LLC investor protection violation2020$74,417
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
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.