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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
Tel-Instrument Electronics Corp. investor protection violation2014$75,000
Starwood Hotel & Resorts Worldwide, Inc.Marriott Internationalhotelsinvestor protection violation2014$75,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014$75,000
Dominick & Dominick LLC investor protection violation2014$75,000
Stock Markets Institute, Inc. investor protection violation2012$75,000
Spencer International Advisors, Inc. investor protection violation2010$75,000
Bachrach Asset Management Inc. investor protection violation2018$75,000
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor protection violation2018$75,000
Brahma Management Ltd. investor protection violation2018$75,000
Bristol Group Inc. investor protection violation2018$75,000
CAI Managers & Co. L.P. investor protection violation2018$75,000
Cherokee Investment Partners LLC investor protection violation2018$75,000
Ecosystem Investment Partners LLC investor protection violation2018$75,000
Elm Partners Management LLC investor protection violation2018$75,000
HEP Management Corp. investor protection violation2018$75,000
Prescott General Partners LLC investor protection violation2018$75,000
RLJ Equity Partners LLC investor protection violation2018$75,000
Rose Park Advisors LLC investor protection violation2018$75,000
Veteri Place Corp. investor protection violation2018$75,000
BKS Advisors LLC investor protection violation2018$75,000
New Silk Route Advisors, L.P. investor protection violation2018$75,000
Cool Technologies Inc. investor protection violation2018$75,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002$75,000
Performance Analytics, Inc. investor protection violation2002$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002$75,000
ED Capital Management, LLC investor protection violation2019$75,000
Palm Beach Atlantic Financial Group, LLC investor protection violation2019$75,000
SQN Capital Management, LLC investor protection violation2020$75,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020$75,000
Spruce Investment Advisors, LLC investor protection violation2022$75,000
Buckman Advisory Group, LLC investor protection violation2022$75,000
Lend Academy Investments, LLC investor protection violation2022$75,000
Steward Capital Management, Inc. investor protection violation2022$75,000
Two Point Capital Management, Inc. investor protection violation2022$75,000
Green Stream Holdings Inc. investor protection violation2023$75,000
Ustocktrade LLC investor protection violation2023$75,000
Bluestone Capital Management LLC investor protection violation2023$75,000
Coastal Investment Advisors, Inc. investor protection violation2019$76,144
Keypoint Capital Management, LLC investor protection violation2015$77,250
Lightspeed Trading LLC investor protection violation2009$77,260
Davenport & Company LLC investor protection violation2015$80,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Equidate Inc. investor protection violation2016$80,000
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017$80,000
Columbia River Advisors, LLC investor protection violation2017$80,000
Electronic Transaction Clearing Inc. investor protection violation2018$80,000
Sharespost, Inc. investor protection violation2012$80,000
Hedgeable Inc. investor protection violation2018$80,000
The Eideard Group, LLC investor protection violation2023$80,000
Clark Schaefer Hackett & Co. investor protection violation2024$80,881
Two Triangle Consulting Group, LLC d/b/a Goldman Small Cap Research investor protection violation2021$83,582
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014$84,101
Harvest Capital Strategies LLC investor protection violation2015$84,454
Talkot Capital investor protection violation2013$84,537
Integral Financial, LLC investor protection violation2021$85,000
MRA Advisory Group investor protection violation2023$85,000
IPG Investment Advisors LLC investor protection violation2019$85,294
Tier One, Inc. investor protection violation2007$85,500
Malachi Financial Products, Inc. investor protection violation2018$85,858
NW Capital Markets Inc. investor protection violation2018$87,065
NW Capital Markets Inc. investor protection violation2018$87,065
Ironman Capital Management investor protection violation2014$87,226
OTC Global Partners, LLC investor protection violation2016$87,499
Security Capital Research & Management Incorporated investor protection violation2014$88,000
Windy Inc. investor protection violation2023$89,979
StateTrust Investments, Inc. investor protection violation2015$90,000
Rothman Securities, Inc. investor protection violation2014$90,000
Arcadia Wealth Management, Inc. investor protection violation2022$90,000
Verde Bio Holdings Inc. investor protection violation2023$90,000
FP Resources USA Inc investor protection violation2018$92,383
Lobster Point Holdings Limited investor protection violation2018$92,383
Geluk Capital Management Ltd. investor protection violation2022$92,688
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Antipodean Advisors investor protection violation2014$93,672
Fortius Financial Advisors, LLC investor protection violation2016$94,070
JCSD Capital, LLC investor protection violation2012$94,222
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Trinad Management, LLC investor protection violation2014$95,000
Highland Capital Partners LLC investor protection violation2022$95,000
Canaan Management, LLC investor protection violation2022$95,000
Titan Fund Management, LLC investor protection violation2022$95,000
Pegasus Investment Management, LLC investor protection violation2011$95,469
Stockman Kast Ryan & Co. LLP investor protection violation2022$96,384
Cohen Klingenstein LLC investor protection violation2021$97,523
Embree Financial Group Inc. investor protection violation2021$97,523
Minot DeBlois Advisors LLC investor protection violation2021$97,523
Paratus Financial Inc. investor protection violation2021$97,523
Wall Street Access investor protection violation2022$97,523
Schulman Lobel Zand Katzen Williams & Blackman and LLP investor protection violation2020$98,510
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Benchmark Securities, LLC investor protection violation2015$100,000
Bernardi Securities, Inc. investor protection violation2015$100,000
First National Capital Markets, Inc. investor protection violation2015$100,000
L.J. Hart and Company investor protection violation2015$100,000
Martin Nelson & Co., Inc. investor protection violation2015$100,000
Merchant Capital, L.L.C. investor protection violation2015$100,000
Wells Nelson & Associates, LLC investor protection violation2015$100,000
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012$100,000
M.A.G. Capital LLC investor protection violation2009$100,000
Regional Brokers, Inc. investor protection violation2007$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.