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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
Sand Hill Exchange investor protection violation2015$20,000
Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. investor protection violation2020$250,000
Salomon Whitney LLC investor protection violation2023$236,173
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$45,000,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
Sagent Wealth Management, LLC investor protection violation2017$181,110
Sage Advisory Services LLC investor protection violation2001$288,328
SafeNet, Inc. accounting fraud or deficiencies2009$1,000,000
Sabby Management LLC investor protection violation2015$278,747
Saba Software accounting fraud or deficiencies2014$1,750,000
SA Stone Investment Advisors Inc. investor protection violation2019$687,374
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022$2,500,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
Ryan Financial Advisors, Inc. investor protection violation2019$258,670
Rudney Associates, Inc. investor protection violation2004$62,330
Ruby Corporation investor protection violation2014$1,100,000
RTW Investments, LP investor protection violation2023$1,400,000
RSM US LLP accounting fraud or deficiencies2019$950,000
RSM US LLP accounting fraud or deficiencies2022$3,750,000
RSE Markets Inc. investor protection violation2023$350,000
RS Investment Management L.P. investor protection violation2004$25,000,000
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020$2,022,500
Royal Dutch ShellShell PLCoil and gasForeign Corrupt Practices Act2010$18,149,459
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004$120,000,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014$120,000
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023$6,000,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$9,500,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$500,001
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$502,400
Roundhill Securities, Inc. investor protection violation2002$100,000
Rothschild Investment Corporation investor protection violation2021$2,471,667
Rothman Securities, Inc. investor protection violation2014$90,000
Ross, Sinclaire & Associates, LLC investor protection violation2016$903,574
Ross, Sinclaire & Associates, LLC investor protection violation2015$220,000
Rosenberg Rich Baker Berman & Company investor protection violation2013$37,000
Rose Park Advisors LLC investor protection violation2018$75,000
Roosevelt & Cross, Incorporated investor protection violation2016$250,000
Roosevelt & Cross, Inc. investor protection violation2020$1,017,015
Romano Brothers & Company investor protection violation2018$15,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022$8,000,000
Rokk3r, Inc. investor protection violation2021$50,000
Rockwood Investment Management investor protection violation2014$237,988
Rockwell Capital Management investor protection violation2024$1,602,089
Rockwell Automation Inc.Rockwell Automationindustrial equipmentForeign Corrupt Practices Act2011$2,761,091
Rock and Roll Cycles, LLC and Cycle For Life, Inc. investor protection violation2020$236,314
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020$65,000,000
Robertson Stephens Inc. investor protection violation2003$33,000,000
Robert W. Baird & Co. Incorporated investor protection violation2015$500,000
Robert W. Baird & Co. Incorporated investor protection violation2019$4,149,167
Robert W. Baird & Co. Inc. investor protection violation2023$15,000,000
Robert W. Baird & Co. investor protection violation2016$250,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023$9,635,911
RLJ Equity Partners LLC investor protection violation2018$75,000
RiverSource Distributors, Inc. investor protection violation2022$5,000,000
RiverSource Distributors Inc. investor protection violation2022$5,000,000
Riverfront Investment Group, LLC investor protection violation2016$300,000
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008$39,900,000
Risk Paradigm Group, LLC investor protection violation2016$100,000
Rio Tinto plcRio Tintomining and mineralsForeign Corrupt Practices Act2023$15,000,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023$28,000,000
RIMA Senvest Management, LLC investor protection violation2014$68,000
Riedl First Securities Co. of Kansas investor protection violation2014$130,000
Ridgeview Asset Management Partners, LLC investor protection violation2022$70,000
Ridgeback Capital Management LP investor protection violation2014$104,500
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018$1,900,000
Rialto Capital Management, LLC investor protection violation2020$350,000
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation investor protection violation2017$50,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Rhino Advisors Inc. investor protection violation2003$1,000,000
Revolutionary Concepts, Inc. investor protection violation2018$25,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020$1,250,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
Revere Securities, LLC investor protection violation2021$50,000
Retirement Investment Advisors, Inc. and Research Holdings, LLC investor protection violation2015$219,243
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Resolute Capital Partners LTD LLC and Homebound Resources LLC investor protection violation2021$450,000
Resilience Management, LLC investor protection violation2017$250,000
ReShape Lifesciences Inc. investor protection violation2023$35,000
Research Investment Group, Inc. investor protection violation2004$24,721
Research Capital, LLC investor protection violation2003$6,337
RenovaCare, Inc. investor protection violation2024$500,000
Renn Capital Group, Inc. investor protection violation2005$2,961,362
Renberg Capital Management, Inc. investor protection violation2002$40,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
Regional Brokers, Inc. investor protection violation2007$100,000
Regal Investment Advisors LLC investor protection violation2021$846,774
Redwood Wealth Management, LLC investor protection violation2021$50,000
Redfin Network Inc. accounting fraud or deficiencies2014$19,480
Red Giant Entertainment Inc. investor protection violation2014$25,000
RCI Hospitality Holdings, Inc. investor protection violation2020$400,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013$153,700,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002$500,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006$1,500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$11,715,395
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016$2,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.