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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 TypeYearPenalty Amount sort icon
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
First Southwest Company investor protection violation2008$150,000
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Blue River Capital LLC investor protection violation2005$150,000
Brean Murray & Co., Inc. investor protection violation2005$150,000
Back Bay Advisors, L.P. investor protection violation2002$150,000
Marion Bass Securities Corp. investor protection violation2000$150,000
Cannell Capital, LLC investor protection violation2020$150,000
Plutus Technologies Philippines Corp. investor protection violation2020$150,000
Andiamo Corporation investor protection violation2021$150,000
Hamilton Investment Counsel, LLC investor protection violation2022$150,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022$150,000
Toews Corporation investor protection violation2022$150,000
Standard Oil Company, Inc. investor protection violation2022$150,000
In Ovations Holdings, Inc. investor protection violation2022$150,000
Artemis Wealth Advisors, LLC investor protection violation2023$150,000
Appomattox Advisory, Inc. investor protection violation2023$150,000
Forepont Capital LLC investor protection violation2023$150,000
Apexium Financial LP investor protection violation2023$150,000
Highlander Capital Management, LLC investor protection violation2023$150,000
Northeast Asset Management, LLC investor protection violation2019$150,982
Andover Brokerage, LLC investor protection violation2003$151,876
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022$152,955
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002$153,245
Empire Stock Transfer, Inc. investor protection violation2016$154,239
Kiely Financial Services, Inc. investor protection violation2004$154,256
M2 Law Professional Corp. investor protection violation2016$154,267
Explorador Capital Management investor protection violation2014$155,658
East Side Holdings II investor protection violation2014$157,010
Biscayne Capital International, LLC investor protection violation2016$158,087
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016$160,000
Credit Karma, Inc. investor protection violation2018$160,000
PMB Helin Donovan, LLP investor protection violation2016$160,000
United Bankers' Bank investor protection violation2016$160,000
Mount Kellett Capital Management LP? investor protection violation2018$160,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
New York REIT, Inc. and New York Recovery Advisors, LLC investor protection violation2017$165,000
Beacon Investment Management LLC investor protection violation2019$165,848
U.S. Gas & Electric, Inc. investor protection violation2006$167,000
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020$167,629
Apex Fund Services (US), Inc. investor protection violation2016$171,836
Canterbury Consulting, Inc. investor protection violation2017$172,986
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016$175,000
Modern Portfolio Management Inc. investor protection violation2013$175,000
Drake Asset Management LLC investor protection violation2011$175,000
World Financial & Investment Co., Inc. investor protection violation2001$175,000
G Asset Management, LLC investor protection violation2015$175,000
First National Community Bancorp Inc investor protection violation2015$175,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002$175,000
Sterling Global Strategies LLC investor protection violation2018$175,000
First Midstate Inc. investor protection violation2020$175,000
India Globalization Capital, Inc. investor protection violation2020$175,000
Voxeljet AG investor protection violation2022$175,000
Exela Technologies, Inc. investor protection violation2022$175,000
Elm Partners Management LLC investor protection violation2023$175,000
Graham, Bordelon and Golson & Gilbert, Inc. investor protection violation2020$176,399
JW Korth & Company L.P. investor protection violation2021$176,533
Morgan Wilshire Securities, Inc. investor protection violation2020$179,017
Guardians Trustee, LLC investor protection violation2018$179,253
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Palestra Capital Management LLC investor protection violation2017$180,968
Sagent Wealth Management, LLC investor protection violation2017$181,110
Founding Partners Capital Management Compan investor protection violation2007$182,244
Biltmore Wealth Management, LLC investor protection violation2018$183,043
Feltl & Company, Inc. investor protection violation2016$183,128
Essex Financial Services, Inc. investor protection violation2017$183,181
The Parrish Group, LLC investor protection violation2019$184,767
Cetera Investment Advisers LLC investor protection violation2019$185,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
Financial Management Strategies, Inc. investor protection violation2019$185,083
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019$186,377
AgEagle Aerial Systems Inc. investor protection violation2023$190,000
Shelton Financial Group, Inc. investor protection violation2015$190,066
BioElectronics, Corp. investor protection violation2018$191,640
W.J. Nolan & Co., Inc. investor protection violation2002$192,028
W.J. Nolan & Co. investor protection violation2001$192,028
Genesis E&P, Inc. investor protection violation2020$192,768
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017$193,676
McDonald Partners, LLC investor protection violation2021$194,682
Classic Asset Management LLC investor protection violation2023$195,228
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
IEC Electronics Corp. accounting fraud or deficiencies2016$200,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014$200,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013$200,000
LaBarge Inc. accounting fraud or deficiencies2011$200,000
Hudson Highland Group accounting fraud or deficiencies2011$200,000
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017$200,000
Institutional Investor Advisers, Inc. investor protection violation2017$200,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016$200,000
W.L. Lyons, LLC investor protection violation2016$200,000
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$200,000
Banyan Partners, LLC investor protection violation2016$200,000
Shamrock Asset Management LLC investor protection violation2016$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$200,000
Parallax Investments, LLC investor protection violation2015$200,000
Gold Mountain Management, LLC investor protection violation2015$200,000
New England Investment and Retirement Group, Inc. investor protection violation2012$200,000
BTS Asset Management, Inc. investor protection violation2012$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.