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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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CompanyCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount sort icon
Raymond Lawrence Lent, (dba the Putney Financial Group and Registered Investment Advisors) investor protection violation2019$43,034
Private Portfolio, Inc. investor protection violation2019$43,061
Investment Partners Ltd. investor protection violation2019$43,384
Navigators International Management Co., Ltd. investor protection violation2011$45,000
Adams Capital Management investor protection violation2017$45,000
VisionPoint Advisory Group, LLC investor protection violation2017$45,000
Groh Asset Management, Inc. investor protection violation2004$45,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003$45,000
Delta Equity Services Corporation investor protection violation2002$45,000
Verus Capital Partners, LLC investor protection violation2021$45,000
Asset Management Group of Bank of Hawaii investor protection violation2022$45,000
Benchmark Capital Advisors LLC investor protection violation2019$45,182
Mercury Capital investor protection violation2012$45,747
Ascend Capital, LLC investor protection violation2003$46,258
ZBS Group LLP investor protection violation2019$48,461
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019$49,162
Marketxt, Inc. investor protection violation2005$49,965
Idle Media Inc. accounting fraud or deficiencies2015$50,000
ERF Wireless Inc. investor protection violation2014$50,000
Green Automotive Company investor protection violation2014$50,000
Mondial Ventures Inc. investor protection violation2014$50,000
Seaniemac International Ltd. investor protection violation2014$50,000
Tradebot Systems Inc. investor protection violation2014$50,000
Empire Stock Transfer Inc. investor protection violation2014$50,000
AGB Partners LLC investor protection violation2010$50,000
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001$50,000
Forcerank LLC investor protection violation2016$50,000
Rhode Island Commerce Corporation f/k/a Rhode Island Economic Development Corporation investor protection violation2017$50,000
Enviso Capital LLC investor protection violation2017$50,000
Americafirst Capital Management, LLC investor protection violation2018$50,000
Southwind Associates of NJ, Inc. d/b/a Villafranco Wealth Management investor protection violation2017$50,000
Municipal Finance Services, Inc. investor protection violation2017$50,000
Wm Smith & Co. investor protection violation2017$50,000
Bonwick Capital Partners, LLC investor protection violation2017$50,000
Mer Telemanagement Solutions Ltd. investor protection violation2017$50,000
Centre Partners Management, LLC investor protection violation2017$50,000
Elray Resources, Inc. investor protection violation2016$50,000
Connexus Corporation investor protection violation2016$50,000
Washington Wealth Management, LLC investor protection violation2016$50,000
Ditto Holdings, Inc. investor protection violation2015$50,000
Dion Money Management, LLC investor protection violation2015$50,000
Commonwealth Capital Management, LLC, et al. investor protection violation2015$50,000
Trust & Investment Advisors, Inc. investor protection violation2015$50,000
Kornitzer Capital Management, Inc. investor protection violation2015$50,000
Water Island Capital LLC investor protection violation2015$50,000
BDO Canada accounting fraud or deficiencies2018$50,000
EFP Rotenberg, LLP accounting fraud or deficiencies2014$50,000
Ox Trading, LLC, et al. investor protection violation2013$50,000
Northern Lights Compliance Services, LLC, et al. investor protection violation2013$50,000
Calhoun Asset Management, LLC investor protection violation2012$50,000
Legend Securities, Inc. investor protection violation2011$50,000
Knowledge Leaders Capital, LLC investor protection violation2018$50,000
Genesis Associates Limited Partnership investor protection violation2018$50,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Dasan Zhone Solutions Inc. investor protection violation2018$50,000
First Hartford Corporation investor protection violation2018$50,000
Infrax Systems Inc. investor protection violation2018$50,000
Retirement Capital Strategies, Inc.? investor protection violation2018$50,000
Cantella & Company, Inc. investor protection violation2006$50,000
Applied Financial Group Inc. investor protection violation2005$50,000
Springer Investment Management, Inc.? investor protection violation2005$50,000
vFinance Investments, Inc. investor protection violation2005$50,000
Taglich Brothers, Inc. investor protection violation2004$50,000
David Lerner Associates, Inc. investor protection violation2004$50,000
Millenium Capital Advisors of Pennsylvania, Inc investor protection violation2002$50,000
Portfolio Advisory Services, LLC investor protection violation2002$50,000
Merrimac Advisors Company investor protection violation2002$50,000
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Signal Securities Inc. investor protection violation2000$50,000
Founders Asset Management LLC investor protection violation2000$50,000
CoinAlpha Advisors LLC investor protection violation2018$50,000
IFS Securities investor protection violation2019$50,000
Channing Capital Management, LLC investor protection violation2019$50,000
Rokk3r, Inc. investor protection violation2021$50,000
HQDA Elderly Life Network Corp. investor protection violation2021$50,000
Asta Funding, Inc. investor protection violation2021$50,000
The Cavanaugh Group Inc. investor protection violation2021$50,000
Tradier Brokerage Inc. investor protection violation2021$50,000
Redwood Wealth Management, LLC investor protection violation2021$50,000
Revere Securities, LLC investor protection violation2021$50,000
Corona Associates Capital Management, LLC investor protection violation2022$50,000
QVR, LLC investor protection violation2022$50,000
Polaris Equity Management, Inc. investor protection violation2022$50,000
E. Magnus Oppenheim & Co. Inc investor protection violation2023$50,000
Datatex Investment Services, Inc. investor protection violation2023$50,000
Hemp Naturals Inc. investor protection violation2023$50,000
LiveWire Ergogenics Inc. investor protection violation2023$50,000
Boyle CP LLC accounting fraud or deficiencies2023$50,000
Banorte Asset Management Inc. investor protection violation2023$50,000
Hansen and Associates Financial Group Inc investor protection violation2023$50,000
Lloyd George Management (HK) Limited investor protection violation2023$50,000
Carl M. Hennig, Inc. investor protection violation2023$50,000
Eagan Capital Management, LLC investor protection violation2023$50,000
JH Darbie & Co. accounting fraud or deficiencies2018$50,113
DLL CPAS, LLC investor protection violation2019$51,387
Envoy Advisory, Inc. investor protection violation2017$51,892
Lockwood Advisors, Inc. investor protection violation2019$52,187
Coral Reef Media, LLC investor protection violation2015$52,395
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.