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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020$1,500,000
Creative Financial Designs, Inc. investor protection violation2020$890,240
Hancock Whitney Investment Services, Inc. investor protection violation2020$2,337,792
Funding the Gap, LLC investor protection violation2020$30,000
SoluTech, Inc. investor protection violation2020$25,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020$2,500,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020$18,000,000
Power Solutions International Inc. accounting fraud or deficiencies2020$1,700,000
Revolution Lighting Technologies Inc. accounting fraud or deficiencies2020$1,250,000
Finser International Corporation investor protection violation2020$70,000
Platinum Wealth Partners, Inc. investor protection violation2020$1,330,847
Morgan Wilshire Securities, Inc. investor protection violation2020$179,017
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020$600,000
Palmer Square Capital Management LLC investor protection violation2020$450,000
RCI Hospitality Holdings, Inc. investor protection violation2020$400,000
OTR, Inc. investor protection violation2020$10,000
Genesis E&P, Inc. investor protection violation2020$192,768
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020$2,022,500
Tierion, Inc. investor protection violation2020$250,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020$18,252,341
First Midstate Inc. investor protection violation2020$175,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020$22,919,155
Virtu ITG Canada Corp. investor protection violation2020$200,000
Cormark Securities Inc. investor protection violation2020$800,000
ShipChain, Inc. investor protection violation2020$2,050,000
India Globalization Capital, Inc. investor protection violation2020$175,000
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020$65,000,000
Luckin Coffee Inc. accounting fraud or deficiencies2020$180,000,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020$1,000,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020$650,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
ICE Data Pricing & Reference Data LLC investor protection violation2020$8,000,000
BlueCrest Capital Management Limited investor protection violation2020$170,000,000
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020$1,000,000
Applied BioSciences Corp. investor protection violation2020$25,000
Bancwest Investment Services, Inc. investor protection violation2020$406,432
SCANA Corp.Dominion Energyutilities and power generationinvestor protection violation2020$137,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$8,014,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019$812,500
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$250,000
Lumber Liquidators Holdings Inc.LL Flooring Holdingshousewares and home furnishingsinvestor protection violation2019$6,000,000
Mobile TeleSystems PJSCMobile TeleSystems PJSCtelecommunicationsForeign Corrupt Practices Act2019$100,000,000
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019$5,709,753
Cognizant Technology Solutions CorporationCognizant Technology Solutionsinformation technologyForeign Corrupt Practices Act2019$6,000,000
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019$2,000,000
Grupo Simec S.A.B de C.V. accounting fraud or deficiencies2019$200,000
Lifeway Foods Inc. accounting fraud or deficiencies2019$100,000
Digital Turbine Inc. accounting fraud or deficiencies2019$100,000
CytoDyn Inc. accounting fraud or deficiencies2019$35,000
Woodbridge Group of Companies LLC investor protection violation2019$892,000
Talimco, LLC investor protection violation2019$399,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019$17,363,847
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$11,715,395
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019$2,971,462
Stephens Inc. investor protection violation2019$5,489,119
Select Money Management, Inc. investor protection violation2019$61,558
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
M Holdings Securities, Inc. investor protection violation2019$1,022,048
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019$1,005,194
D.A. Davidson & Co. investor protection violation2019$654,276
Trustcore Financial Services, LLC investor protection violation2019$422,261
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019$6,037,175
Spire Wealth Mangement, LLC investor protection violation2019$594,072
Lockwood Advisors, Inc. investor protection violation2019$52,187
Kestra Private Wealth Services, LLC investor protection violation2019$549,003
Kestra Advisory Services, LLC investor protection violation2019$6,196,279
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019$241,227
Hazlett and Burt & Watson, Inc. investor protection violation2019$123,456
Coastal Investment Advisors, Inc. investor protection violation2019$76,144
Syndicated Capital, Inc. investor protection violation2019$38,991
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019$49,162
Silversage Advisors investor protection violation2019$342,062
Private Portfolio, Inc. investor protection violation2019$43,061
PlanMember Securities Corporation investor protection violation2019$3,550,660
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$296,750
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$1,134,152
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019$1,171,028
Popular Securities, LLC investor protection violation2019$544,577
NBC Securities, Inc. investor protection violation2019$426,119
Kovack Advisors, Inc. investor protection violation2019$898,781
Calton & Associates, Inc. investor protection violation2019$305,044
Benchmark Capital Advisors LLC investor protection violation2019$45,182
Summit Financial Group, Inc. investor protection violation2019$1,032,702
Northeast Asset Management, LLC investor protection violation2019$150,982
EFG Asset Management (Americas) Corp. investor protection violation2019$62,505
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
Provise Management Group, LLC investor protection violation2019$297,423
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$1,405,349
MIAI, Inc. investor protection violation2019$488,579
First Kentucky Securities Corporation investor protection violation2019$132,651
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
Client One Securities, LLC investor protection violation2019$35,275
National Asset Management, Inc. investor protection violation2019$733,423
Investment Research Corp investor protection violation2019$33,188
First National Capital Markets, Inc. investor protection violation2019$138,117
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019$3,389,174
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019$1,764,624
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019$458,082
L.M. Kohn & Company investor protection violation2019$586,882
Benjamin F. Edwards & Co., Inc. investor protection violation2019$3,445,264
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019$6,023,072
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.