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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
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$35,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022$500,000
Sparkster Ltd investor protection violation2022$35,000,000
Wave Equity Partners LLC investor protection violation2022$325,000
Toews Corporation investor protection violation2022$150,000
Arcadia Wealth Management, Inc. investor protection violation2022$90,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022$2,500,000
PIC Renegade Properties, LLC investor protection violation2022$400,000
McDermott Investment Advisors, LLC investor protection violation2022$304,262
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022$1,300,000
Cetera Advisors, LLC and Cetera Advisor Networks, LLC investor protection violation2022$8,605,470
Mattel Inc.Mattelmiscellaneous manufacturingaccounting fraud or deficiencies2022$3,500,000
Elegance Brands et al. investor protection violation2022$2,500,000
RSM US LLP accounting fraud or deficiencies2022$3,750,000
Cemtrex, Inc. investor protection violation2022$2,200,000
Standard Oil Company, Inc. investor protection violation2022$150,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$361,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022$20,000,000
Tupperware Brands CorporationTupperware Brandshousewares and home furnishingsinvestor protection violation2022$900,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$50,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022$10,000,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022$23,000,000
AT&TAT&Ttelecommunicationsinvestor protection violation2022$6,250,000
PFP Entrust Corp. investor protection violation2022$100,000
Two Point Capital Management, Inc. investor protection violation2022$75,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022$75,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022$4,000,000
Legal & General Investment Management America, Inc. investor protection violation2022$500,000
Danske Bank A/SDanske Bankfinancial servicesanti-money-laundering deficiencies2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
In Ovations Holdings, Inc. investor protection violation2022$150,000
Honeywell International Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2022$81,000,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
Exela Technologies, Inc. investor protection violation2022$175,000
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
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
ConTXT, Inc investor protection violation2021$571,153
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
GWFS Equities Inc. anti-money-laundering deficiencies2021$1,500,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021$9,000,000
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
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Regal Investment Advisors LLC investor protection violation2021$846,774
BFC Planning, Inc. investor protection violation2021$305,811
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
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
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
Diastole Wealth Management, Inc. investor protection violation2021$100,000
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
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
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Cantella & Co., Inc. investor protection violation2021$701,630
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
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
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Northwest Advisors, Inc. investor protection violation2021$245,000
SoFi Wealth, LLC investor protection violation2021$300,000
Murchinson Ltd. investor protection violation2021$8,878,183
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
ISC Advisors, Inc. investor protection violation2021$716,345
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.