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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
Regional Brokers, Inc. investor protection violation2007$100,000
1st Global Capital Corp. investor protection violation2006$100,000
Graycort Financial, LLC investor protection violation2006$100,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004$100,000
LNB Bancorp, Inc. investor protection violation2004$100,000
Chiquita Brands International, Inc.Chiquita Brands Internationalfood productsForeign Corrupt Practices Act2001$100,000
NGN Capital investor protection violation2017$100,000
Sidoti & Company LLC investor protection violation2017$100,000
LKL Investment Counsel LLC investor protection violation2018$100,000
Bantry Bay Capital, LLC investor protection violation2017$100,000
Lion Biotechnologies, Inc. investor protection violation2017$100,000
Congress Wealth Management LLC investor protection violation2016$100,000
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
HT Partners LLC investor protection violation2016$100,000
Prospera Financial Services, Inc. investor protection violation2016$100,000
Schneider Downs Wealth Management Advisors, LP investor protection violation2016$100,000
WFG Advisors, L.P. investor protection violation2016$100,000
Keygent LLC investor protection violation2016$100,000
MaloneBailey, LL investor protection violation2016$100,000
Craig Scott Capital, LLC investor protection violation2016$100,000
Cantella & Co. investor protection violation2016$100,000
First Midstate Incorporated investor protection violation2016$100,000
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC investor protection violation2015$100,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$100,000
NW Capital Markets Inc. investor protection violation2015$100,000
Mesirow Financial, Inc. investor protection violation2015$100,000
Joe Jolly & Co., Inc. investor protection violation2015$100,000
The Frazer Lanier Company, Incorporated investor protection violation2015$100,000
Prager & Co., LLC investor protection violation2015$100,000
Mackensen & Company, Inc. investor protection violation2015$100,000
The Phoenix Companies, Inc. investor protection violation2014$100,000
PHL Variable Insurance Company investor protection violation2014$100,000
UASNM, Inc. investor protection violation2014$100,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012$100,000
Hanes Morgan & Co., Inc investor protection violation2011$100,000
Envision Capital Management, Ltd. investor protection violation2011$100,000
Beverly Hills Wealth Management, LLC investor protection violation2018$100,000
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018$100,000
Merriman Curhan Ford & Co. investor protection violation2009$100,000
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009$100,000
Cushing Asset Management, LP investor protection violation2018$100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018$100,000
Kelmoore Investment Company, Inc. investor protection violation2007$100,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Kaplan & Co., Securities, Inc. investor protection violation2006$100,000
Colley Asset Management, Inc. investor protection violation2005$100,000
Jamison, Eaton & Wood, Inc. investor protection violation2003$100,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002$100,000
Roundhill Securities, Inc. investor protection violation2002$100,000
D.E. Frey and Company, Inc. investor protection violation2000$100,000
F.W. Thompson Company Ltd. investor protection violation2000$100,000
Dawson-Samberg Capital Management, Inc. investor protection violation2000$100,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000$100,000
Lifeway Foods Inc. accounting fraud or deficiencies2019$100,000
Digital Turbine Inc. accounting fraud or deficiencies2019$100,000
ADT Inc.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2018$100,000
Ancora Advisors LLC investor protection violation2018$100,000
Corinthian Capital Group, LLC investor protection violation2019$100,000
Account Management LLC investor protection violation2019$100,000
Laurel Wealth Advisors, Inc. investor protection violation2019$100,000
Lone Star Value Management LLC investor protection violation2020$100,000
Monsoon Capital, LLC investor protection violation2020$100,000
WCAS Management Corporation investor protection violation2020$100,000
Birinyi Associates, Inc. investor protection violation2020$100,000
An L.A. Minute LLC investor protection violation2020$100,000
Lightspeed Trading, LLC investor protection violation2021$100,000
Diastole Wealth Management, Inc. investor protection violation2021$100,000
Parallax Health Sciences Inc. investor protection violation2021$100,000
TradeZero America Inc. investor protection violation2022$100,000
TradeZero America, Inc. investor protection violation2022$100,000
TBG Holdings Corporation investor protection violation2022$100,000
Charles Pratt & Company, LLC investor protection violation2022$100,000
PFP Entrust Corp. investor protection violation2022$100,000
Cambria Capital, LLC investor protection violation2023$100,000
Macroclimate LLC investor protection violation2023$100,000
Mortgage Industry Advisory Corporation investor protection violation2023$100,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
Osaic Wealth, Inc. investor protection violation2023$100,000
FSC Securities Corporation investor protection violation2023$100,000
GeaSphere LLC investor protection violation2024$100,000
First Montauk Securities Corp. investor protection violation2008$100,742
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017$100,937
Eagle Strategies LLC investor protection violation2020$101,090
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008$101,711
Katz, Sapper & Miller, LLP investor protection violation2019$101,834
Blyth & Associates, Inc. investor protection violation2019$103,071
Investmark Advisory Group LLC investor protection violation2019$103,107
African Gold Acquisition Corp. investor protection violation2023$103,591
Fortress Investment Management, LLC investor protection violation2020$104,097
Ridgeback Capital Management LP investor protection violation2014$104,500
Noonan Capital Management, LLC investor protection violation2013$104,825
Loop Capital Markets, LLC investor protection violation2022$105,456
Solus Alternative Asset Management investor protection violation2014$105,495
SIX Financial Information USA Inc. investor protection violation2017$107,707
Summit Planning Group, Inc. investor protection violation2023$109,401
Great Point Partners investor protection violation2014$109,597
Henning-Carey Proprietary Trading, LLC investor protection violation2016$110,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.