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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 Type sort iconYearPenalty Amount
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017$250,000
Jaypee International, Inc. investor protection violation2017$25,000
Jeffrey Slocum & Associates, Inc. investor protection violation2017$300,000
Olde Monmouth Stock Transfer Co., Inc. investor protection violation2017$126,183
Palestra Capital Management LLC investor protection violation2017$180,968
Mer Telemanagement Solutions Ltd. investor protection violation2017$50,000
Centre Partners Management, LLC investor protection violation2017$50,000
Essex Financial Services, Inc. investor protection violation2017$183,181
Berman & Company, P.A. investor protection violation2017$25,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016$1,400,000
Empire Stock Transfer, Inc. investor protection violation2016$154,239
M2 Law Professional Corp. investor protection violation2016$154,267
TPG Advisors LLC investor protection violation2016$328,437
New Silk Route Advisors, L.P. investor protection violation2016$275,000
Grassi & Co., CPAs and P.C. investor protection violation2016$401,510
PMB Helin Donovan, LLP investor protection violation2016$160,000
OTC Global Partners, LLC investor protection violation2016$87,499
Henning-Carey Proprietary Trading, LLC investor protection violation2016$110,000
Hope Capital, Inc. investor protection violation2016$579,747
Dupree Financial Group, LLC investor protection violation2016$25,000
Elray Resources, Inc. investor protection violation2016$50,000
Moloney Securities Co., Inc. investor protection violation2016$41,500
Altair Nanotechnologies, Inc. investor protection violation2016$250,000
Bluefire Renewables, Inc. investor protection violation2016$25,000
Connexus Corporation investor protection violation2016$50,000
Aviva Investors Americas, LLC investor protection violation2016$250,000
Wilmington Savings Fund Society, FSB investor protection violation2016$375,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016$765,688
3C Advisors & Associates, Inc. investor protection violation2016$7,500
First Reserve Management, L.P. investor protection violation2016$3,500,000
Orinda Asset Management, LLC investor protection violation2016$75,000
AssetMark, Inc. investor protection violation2016$500,000
Congress Wealth Management LLC investor protection violation2016$100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016$200,000
Constellation Wealth Advisors LLC investor protection violation2016$100,000
Risk Paradigm Group, LLC investor protection violation2016$100,000
Executive Monetary Management, LLC investor protection violation2016$100,000
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
HT Partners LLC investor protection violation2016$100,000
Banyan Partners, LLC investor protection violation2016$200,000
Prospera Financial Services, Inc. investor protection violation2016$100,000
Schneider Downs Wealth Management Advisors, LP investor protection violation2016$100,000
Shamrock Asset Management LLC investor protection violation2016$200,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016$2,300,000
Delaney Equity Group LLC investor protection violation2016$20,000
Fortius Financial Advisors, LLC investor protection violation2016$94,070
Concert Global Group Limited and Concert Wealth Management, Inc. investor protection violation2016$120,000
Washington Wealth Management, LLC investor protection violation2016$50,000
Advantage Investment Management, LLC investor protection violation2016$60,000
Riverfront Investment Group, LLC investor protection violation2016$300,000
Secondmarket, Inc. investor protection violation2016$53,755
WFG Advisors, L.P. investor protection violation2016$100,000
Ross, Sinclaire & Associates, LLC investor protection violation2016$903,574
Simpson Hughes Financial, LLC investor protection violation2016$287,119
Feltl & Company, Inc. investor protection violation2016$183,128
Apex Fund Services (US), Inc. investor protection violation2016$171,836
2 West, Inc., et al. investor protection violation2016$2,025,179
School Business Consulting, Inc investor protection violation2016$30,000
Keygent LLC investor protection violation2016$100,000
American Life, Inc. investor protection violation2016$1,000,000
Blackstreet Capital Management, LLC investor protection violation2016$2,622,737
Federated Global Investment Management Corp. investor protection violation2016$1,500,000
Biscayne Capital International, LLC investor protection violation2016$158,087
American Registrar & Transfer Company investor protection violation2016$25,649
MaloneBailey, LL investor protection violation2016$100,000
Santos, Postal & Company, P.C. investor protection violation2016$29,076
Innovative Business Solutions, LLC investor protection violation2016$357,986
Craig Scott Capital, LLC investor protection violation2016$100,000
Thakkar CPA, PLLC investor protection violation2016$359,487
Cambridge Investment Research Advisors, Inc. investor protection violation2016$225,000
Canaccord Genuity Inc. investor protection violation2016$550,198
Central States Capital Markets, LLC investor protection violation2016$374,827
First Southwest Company, LLC investor protection violation2016$222,400
Marco Investment Management, LLC investor protection violation2016$232,345
Cantella & Co. investor protection violation2016$100,000
IBC Funds, LLC investor protection violation2016$2,482,850
United Bankers' Bank investor protection violation2016$160,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016$440,000
Roosevelt & Cross, Incorporated investor protection violation2016$250,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016$20,000
Municipal Capital Markets Group, Inc. investor protection violation2016$60,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016$500,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016$360,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016$500,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016$440,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016$500,000
D.A. Davidson & Co. investor protection violation2016$500,000
Boenning & Scattergood, Inc. investor protection violation2016$250,000
First Midstate Incorporated investor protection violation2016$100,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$500,000
ARRG Corp. investor protection violation2016$410,753
Equinox Fund Management, LLC investor protection violation2016$400,000
Everhart Financial Group, Inc. investor protection violation2016$305,407
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015$1,011,093
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015$1,055,197
Canarsie Capital, LLC investor protection violation2015$3,494,938
DKM Certified Public Accountants, Inc. investor protection violation2015$60,043
Messineo & Co., CPAs, LLC investor protection violation2015$25,000
Bander Law Firm, PLLC investor protection violation2015$273,184
Azarmehr Law Group investor protection violation2015$57,965
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.