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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
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$200,000
Banyan Partners, LLC investor protection violation2016$200,000
Shamrock Asset Management LLC investor protection violation2016$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$200,000
Parallax Investments, LLC investor protection violation2015$200,000
Gold Mountain Management, LLC investor protection violation2015$200,000
New England Investment and Retirement Group, Inc. investor protection violation2012$200,000
BTS Asset Management, Inc. investor protection violation2012$200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012$200,000
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010$200,000
Lockwood Advisors, Incorporated investor protection violation2018$200,000
Aisling Capital LLC investor protection violation2018$200,000
Crypto Asset Management LP investor protection violation2018$200,000
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018$200,000
Creative Planning, Inc. investor protection violation2018$200,000
Crypto Asset Management, LP investor protection violation2018$200,000
VSS Fund Management LLC investor protection violation2018$200,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001$200,000
Oechsle International Advisors L.L.C. investor protection violation2001$200,000
Grupo Simec S.A.B de C.V. accounting fraud or deficiencies2019$200,000
TherapeuticsMD Inc. investor protection violation2019$200,000
Strategic Planning Group, Inc. investor protection violation2019$200,000
Vandham Securities Corp. investor protection violation2019$200,000
1Globe Capital, LLC investor protection violation2020$200,000
First Western Capital Management Company investor protection violation2020$200,000
Virtu ITG Canada Corp. investor protection violation2020$200,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Tandy Leather Factory Inc. accounting fraud or deficiencies2021$200,000
True Link Financial Advisors, LLC investor protection violation2022$200,000
SparkLabs Global Ventures Management LLC and SparkLabs Management, LLC investor protection violation2022$200,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
Simplex Trading, LLC investor protection violation2023$200,000
SQN Capital Management, LLC investor protection violation2023$200,000
Florence Capital Advisors, LLC investor protection violation2023$200,000
Cumberland Pharmaceuticals Inc. investor protection violation2023$200,000
Blotics Ltd investor protection violation2021$201,687
First Western Advisors investor protection violation2018$202,767
Feltl & Company, Inc. investor protection violation2011$203,172
Capitol Securities Management, Inc. investor protection violation2020$203,414
Howarth Financial Services, LLC investor protection violation2017$203,444
Intervest International, Inc. investor protection violation2021$205,277
Boenning & Scattergood, Inc. investor protection violation2020$205,567
Outset Global LLP investor protection violation2019$207,409
The Huntington Investment Company investor protection violation2019$207,946
Guggenheim Securities, LLC investor protection violation2021$208,912
Tiber Creek Corp. investor protection violation2019$209,797
Trust Advisory Group, Ltd. investor protection violation2022$214,460
HITE Hedge Asset Management LLC et al. investor protection violation2023$214,591
Victoire Finance Capital LLC investor protection violation2008$215,631
Critical Trading, LLC investor protection violation2019$219,092
Retirement Investment Advisors, Inc. and Research Holdings, LLC investor protection violation2015$219,243
Philadelphia Financial Management of San Francisco investor protection violation2013$219,443
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
Northland Securities, Inc. investor protection violation2015$220,000
Ross, Sinclaire & Associates, LLC investor protection violation2015$220,000
HCR Wealth Advisors investor protection violation2019$220,000
GLB Trading, Inc. investor protection violation2009$220,670
Warrior Fund LLC investor protection violation2010$221,384
First Southwest Company, LLC investor protection violation2016$222,400
Students of Strength, Inc. investor protection violation2021$222,517
Belmont Partners LLC accounting fraud or deficiencies2014$224,500
Nebulous, Inc. investor protection violation2019$224,601
Ontario Teachers' Pension Plan Board investor protection violation2013$224,835
Bolton Securities Corporation investor protection violation2021$224,994
H.D. Vest Investment Securities investor protection violation2015$225,000
Equitas Capital Advisers LLC investor protection violation2013$225,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013$225,000
Cambridge Investment Research Advisors, Inc. investor protection violation2016$225,000
JH Partners, LLC investor protection violation2015$225,000
Highland Capital Management, L.P. investor protection violation2014$225,000
SEI Investments Global Funds Services investor protection violation2018$225,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010$225,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$225,000
Monolith Resources LLC workplace whistleblower retaliation2023$225,000
Disruptive Technology Advisers LLC investor protection violation2023$225,000
Delphia (USA) Inc. investor protection violation2024$225,000
Dynamic Intelligence, Inc. investor protection violation2018$228,552
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016$230,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018$230,000
Saxony Capital Management LLC investor protection violation2019$230,220
Wesley Capital Management, LLC investor protection violation2012$232,289
Marco Investment Management, LLC investor protection violation2016$232,345
Salomon Whitney LLC investor protection violation2023$236,173
Rock and Roll Cycles, LLC and Cycle For Life, Inc. investor protection violation2020$236,314
Rockwood Investment Management investor protection violation2014$237,988
Siebert Brandford Shank & Co., LLC investor protection violation2015$240,000
LBMZ Securities, Inc. investor protection violation2017$240,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019$241,227
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018$241,305
Harbour Investments, Inc. investor protection violation2018$241,479
Africa Gemstone Corporation investor protection violation2003$242,840
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002$242,840
Crews & Associates Inc. investor protection violation2021$244,072
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007$244,921
Northwest Advisors, Inc. investor protection violation2021$245,000
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012$247,043
USA Financial Securities Corporation investor protection violation2021$249,455
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.