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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Solus Alternative Asset Management investor protection violation2014$105,495
SolarEdge Technologies, Inc. investor protection violation2023$125,000
Sofinnova Ventures, Inc. investor protection violation2018$120,000
SoFi Wealth, LLC investor protection violation2021$300,000
Sociedad Quimica y Minera de Chile S.A. Foreign Corrupt Practices Act2017$15,000,000
SMP Investments I, LLC investor protection violation2015$63,750
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
Smith & Wesson Holding CorporationSmith & Wessonmiscellaneous manufacturingForeign Corrupt Practices Act2014$2,000,000
Smith & Nephew PLCSmith & Nephewmedical equipment and suppliesForeign Corrupt Practices Act2012$5,400,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023$9,000,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024$1,250,000
SIX Financial Information USA Inc. investor protection violation2017$107,707
Sirios Capital Management, L.P.? investor protection violation2008$287,058
Simpson Hughes Financial, LLC investor protection violation2016$287,119
Simpson Capital Management, Inc. investor protection violation2009$6,650,000
Simplex Trading, LLC investor protection violation2023$200,000
Silversage Advisors investor protection violation2019$342,062
Silver Edge Financial LLC investor protection violation2023$3,475,000
Signature Financial Services, Ltd. investor protection violation2020$276,580
Signator Investors, Inc. investor protection violation2015$450,000
Signal Securities Inc. investor protection violation2000$50,000
Sigma Planning Corp. investor protection violation2019$2,546,718
Sigma Capital Management investor protection violation2013$13,944,000
SIG Specialists, Inc. investor protection violation2004$3,033,589
Sierra Financial Advisors, LLC investor protection violation2010$14,599
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Siebert Brandford Shank & Co., LLC investor protection violation2015$240,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
Sidoti & Company LLC investor protection violation2017$100,000
Sica Wealth Management, LLC and Circle Squared Alternative Investments, LLC investor protection violation2023$584,333
Sica Wealth Management, LLC investor protection violation2020$378,693
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications investor protection violation2001$41,727,403
ShipChain, Inc. investor protection violation2020$2,050,000
ShiftPixy, Inc. investor protection violation2021$25,000
Sherb & Co. LLP accounting fraud or deficiencies2013$75,000
Shelton Financial Group, Inc. investor protection violation2015$190,066
SHE Beverage Company, Inc. investor protection violation2024$12,760,274
Sharespost, Inc. investor protection violation2012$80,000
ShapeShift AG investor protection violation2024$275,000
Shamrock Asset Management LLC investor protection violation2016$200,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003$5,000,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004$125,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023$35,000,000
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018$800,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015$1,011,093
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
SFX Financial Advisory Management Enterprises, Inc. investor protection violation2015$150,000
SFLMaven Corp. investor protection violation2023$25,000
Senvest Management LLC investor protection violation2024$6,500,000
Senior Resources Asset Fund, LLC investor protection violation2006$3,699,203
Semper Capital Management, L.P. investor protection violation2020$503,228
Select Money Management, Inc. investor protection violation2019$61,558
SEI Investments Global Funds Services investor protection violation2018$225,000
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004$375,000
Security Trust Company, N.A. investor protection violation2004$1,000,000
Security Capital Research & Management Incorporated investor protection violation2014$88,000
Securities Transfer Corporation investor protection violation2011$10,000
Securities Compliance Group, Ltd. investor protection violation2018$27,655
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$603,776
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$1,750,000
Securities America Advisors Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2018$5,828,448
Secured Income Reserve, Inc. fraud2016$1,318,476
Secondmarket, Inc. investor protection violation2016$53,755
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018$4,000,000
Seawolf Capital investor protection violation2014$296,937
Seaniemac International Ltd. investor protection violation2014$50,000
SCWorx Corp. investor protection violation2022$125,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023$7,500,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006$20,000,000
Sciens Investment Management, LLC and Sciens Diversified Managers, LLC investor protection violation2023$275,000
SciClone PharmaceuticalsSciClone PharmaceuticalspharmaceuticalsForeign Corrupt Practices Act2016$12,000,000
Schultz Investment Advisors, Inc. investor protection violation2005$114,534
Schulman Lobel Zand Katzen Williams & Blackman and LLP investor protection violation2020$98,510
School Services of California, Inc. investor protection violation2019$10,000
School Business Consulting, Inc investor protection violation2016$30,000
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
Schneider Downs Wealth Management Advisors, LP investor protection violation2016$100,000
Schering-Plough CorporationMerckpharmaceuticalsForeign Corrupt Practices Act2004$500,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003$1,000,000
SCF Investment Advisors, Inc. investor protection violation2020$767,192
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020$137,500,000
Saxony Capital Management LLC investor protection violation2019$230,220
Sauberan & Company LLC investor protection violation2021$10,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011$10,000,000
Sarkauskas and Associates, Inc. investor protection violation2013$449,837
SAP SESAPinformation technologyForeign Corrupt Practices Act2016$3,700,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2024$98,400,000
Santos, Postal & Company, P.C. investor protection violation2016$29,076
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019$270,539
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018$1,500,000
SanofiSanofipharmaceuticalsForeign Corrupt Practices Act2018$25,200,000
Sankaty Advisors, LLC investor protection violation2014$68,000
Sands Brothers Asset Management LLC investor protection violation2015$1,000,000
Sands Brothers Asset Management LLC investor protection violation2010$60,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016$1,400,000
Sandell Asset Management Corp. investor protection violation2007$8,097,494
Sand Hill Exchange investor protection violation2015$20,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.