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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
Henning-Carey Proprietary Trading, LLC investor protection violation2016$110,000
Formula Growth investor protection violation2014$111,743
Western Standard investor protection violation2013$111,807
Soundpost Partners investor protection violation2013$113,315
Schultz Investment Advisors, Inc. investor protection violation2005$114,534
CMS Fund Advisers, Inc. investor protection violation2005$115,000
Perini Capital, LLC investor protection violation2022$115,000
eXp World Holdings, Inc. investor protection violation2023$115,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004$115,126
One Touch Marketing, Inc. investor protection violation2001$118,387
Imperium Advisors, LLC investor protection violation2007$119,964
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015$120,000
North American Medical Products, Inc. investor protection violation2003$120,000
Concert Global Group Limited and Concert Wealth Management, Inc. investor protection violation2016$120,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015$120,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014$120,000
Royal Bank of Scotland Group plcNatWest Group PLCfinancial servicesinvestor protection violation2014$120,000
Comprehensive Capital Management, Inc. investor protection violation2013$120,000
Sofinnova Ventures, Inc. investor protection violation2018$120,000
Theorem Fund Services LLC investor protection violation2023$122,271
Foxhall Capital Management, Inc investor protection violation2013$122,430
ECP Manager LP investor protection violation2019$122,656
Hazlett and Burt & Watson, Inc. investor protection violation2019$123,456
Westlands Water District investor protection violation2016$125,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006$125,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$125,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006$125,000
Unified Fund Services, Inc. investor protection violation2006$125,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004$125,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004$125,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004$125,000
Portugal Telecom SGPS S.A. accounting fraud or deficiencies2016$125,000
Arlington Capital Management, Inc. investor protection violation2018$125,000
The Buckingham Research Group, Inc. and Buckingham Capital Management investor protection violation2010$125,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
Fidelity National Capital Investors, Inc. investor protection violation2004$125,000
FT Interactive Data investor protection violation2003$125,000
Vanderbilt Capital Advisors LLC investor protection violation2002$125,000
Biltmore International Corporation investor protection violation2020$125,000
Celadon Financial Group LLC investor protection violation2020$125,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020$125,000
Cascade Investment Group, Inc investor protection violation2021$125,000
SCWorx Corp. investor protection violation2022$125,000
IMC Chicago, LLC investor protection violation2022$125,000
SolarEdge Technologies, Inc. investor protection violation2023$125,000
J.H. Darbie & Co., Inc. investor protection violation2023$125,000
Olde Monmouth Stock Transfer Co., Inc. investor protection violation2017$126,183
Fieldman Rolapp & Associates, Inc. investor protection violation2023$127,916
Business & Financial Advisors, Inc. investor protection violation2001$128,817
Riedl First Securities Co. of Kansas investor protection violation2014$130,000
KBR, Inc.KBRconstruction and engineeringinvestor protection violation2015$130,000
Tradenet Capital Markets Ltd. investor protection violation2020$130,000
Apex Financial Advisors Inc. investor protection violation2023$130,000
Child, Van Wagoner & Bradshaw, PLLC investor protection violation2015$130,506
XBT Corp Sarl dba First Global Credit investor protection violation2019$131,952
Braverock Investments LLC investor protection violation2023$132,000
Paritz & Company accounting fraud or deficiencies2017$132,049
PEAK6 Capital Management investor protection violation2013$132,217
First Kentucky Securities Corporation investor protection violation2019$132,651
Abtech Holdings, Inc.? investor protection violation2018$133,414
ASMAC Financial, Inc. investor protection violation2010$133,995
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015$134,026
Sycamore Lane Partners LLC investor protection violation2018$134,042
BiscayneAmericas Advisers L.L.C. investor protection violation2022$135,000
BTS Asset Management Inc. investor protection violation2023$135,000
Linden Thomas Advisory Services LLC investor protection violation2023$135,000
Anamar Communications, Inc. investor protection violation2002$136,917
First National Capital Markets, Inc. investor protection violation2019$138,117
PeachCap Tax & Advisory, LLC investor protection violation2021$138,813
Moon Capital Management, LP? investor protection violation2008$139,071
Success Holding Group International, Inc. investor protection violation2017$139,737
Country Club Bank investor protection violation2015$140,000
GT Advanced Technologies Inc. investor protection violation2019$140,000
Grand Teton Capital Management, LLC? investor protection violation2018$141,443
Midwood Capital Management investor protection violation2014$142,947
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$143,215
Advent Capital Management investor protection violation2014$144,128
Prime Capital Services, Inc. investor protection violation2010$144,262
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Covenant Financial Services, LLC investor protection violation2017$144,845
Tradamax Group, Inc. fraud2002$149,408
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016$150,000
EnviraTrends, Inc. investor protection violation2015$150,000
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014$150,000
Further Lane Asset Management investor protection violation2013$150,000
Lion Gate Capital, Inc. investor protection violation2009$150,000
Perry Corp. investor protection violation2009$150,000
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004$150,000
BellSouth CorporationAT&TtelecommunicationsForeign Corrupt Practices Act2002$150,000
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017$150,000
O'Connor & Company Securities, Inc. investor protection violation2017$150,000
Bradway Financial, LLC and Bradway Capital Management, LLC investor protection violation2017$150,000
Lebenthal & Co., LLC investor protection violation2017$150,000
Tri-Star Advisors, Inc. investor protection violation2015$150,000
Pekin Singer Strauss Asset Management Inc investor protection violation2015$150,000
SFX Financial Advisory Management Enterprises, Inc. investor protection violation2015$150,000
Consulting Services Group, LLC investor protection violation2015$150,000
Westend Capital Management, LLC investor protection violation2014$150,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.