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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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
TokenLot LLC investor protection violation2018$478,929
Lightspeed Trading LLC investor protection violation2014$478,216
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$476,702
Pinnacle Investments LLC investor protection violation2023$476,000
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
Powersecure International, Inc. accounting fraud or deficiencies2016$470,000
Goelzer Investment Management, Inc.? investor protection violation2013$463,793
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019$458,082
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
Signator Investors, Inc. investor protection violation2015$450,000
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
Capital Analysts Incorporated investor protection violation2005$450,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
Palmer Square Capital Management LLC investor protection violation2020$450,000
Resolute Capital Partners LTD LLC and Homebound Resources LLC investor protection violation2021$450,000
United Health Products, Inc. accounting fraud or deficiencies2022$450,000
Sarkauskas and Associates, Inc. investor protection violation2013$449,837
Vinci Partners Investimentos investor protection violation2014$448,707
TrendsGroup International, Inc. investor protection violation2003$445,691
JM Financial Institutional Securities Private Limited investor protection violation2012$443,545
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016$440,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016$440,000
Perceptive Advisors LLC investor protection violation2009$439,755
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Apple Six Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Eight Advisors Inc. accounting fraud or deficiencies2014$437,500
Financial Sherpa, Inc. investor protection violation2019$436,861
Delaware Service Company, Inc. investor protection violation2006$435,000
Valentine Capital Asset Management, Inc.? investor protection violation2010$432,007
M.S. Junior and Swiss Capital Holdings investor protection violation2013$427,936
NBC Securities, Inc. investor protection violation2019$426,119
Pacific Growth Equities, LLC investor protection violation2007$425,000
TradeStation Securities, Inc. investor protection violation2022$425,000
Trustcore Financial Services, LLC investor protection violation2019$422,261
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2015$420,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015$420,000
Cozad Asset Management, Inc. investor protection violation2020$416,870
JP Turner & Company, LLC investor protection violation2012$416,051
GreneCo, LLC investor protection violation2022$414,364
New America High Income Fund, Inc. investor protection violation2012$413,399
Legendary Partners, LLC investor protection violation2023$412,542
Alexander Capital L.P. investor protection violation2018$410,987
ARRG Corp. investor protection violation2016$410,753
WealthCFO, LLC investor protection violation2018$409,405
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$408,931
Troubh Partners investor protection violation2014$408,710
Bancwest Investment Services, Inc. investor protection violation2020$406,432
Island Capital Management LLC, d/b/a Island Stock Transfer investor protection violation2022$404,394
First Citizens Investor Services, Inc. investor protection violation2019$402,665
Grassi & Co., CPAs and P.C. investor protection violation2016$401,510
Gray Financial Group, Inc. investor protection violation2017$401,298
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Stephens Inc. investor protection violation2015$400,000
Thompson Consulting Inc. investor protection violation2010$400,000
Presstek Inc. investor protection violation2010$400,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004$400,000
Moret Ernst & Young Accountants accounting fraud or deficiencies2002$400,000
Port Authority of New York and New Jersey investor protection violation2017$400,000
Gemini Fund Services, LLC investor protection violation2018$400,000
Equinox Fund Management, LLC investor protection violation2016$400,000
Houston American Energy Corp. investor protection violation2015$400,000
Pennant Management, Inc. investor protection violation2018$400,000
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001$400,000
Lightyear Capital LLC investor protection violation2018$400,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019$400,000
RCI Hospitality Holdings, Inc. investor protection violation2020$400,000
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022$400,000
IFP Advisors, LLC investor protection violation2022$400,000
PIC Renegade Properties, LLC investor protection violation2022$400,000
Grenda Group, LLC investor protection violation2024$400,000
Talimco, LLC investor protection violation2019$399,000
Meru Capital Group investor protection violation2013$398,512
Wealth Plus, Inc. investor protection violation2022$398,232
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
Lawson Financial Corporation investor protection violation2017$396,652
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Crestview Capital Partners investor protection violation2007$394,640
Quogue Capital LLC investor protection violation2008$390,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
Hefren-Tillotson, Inc. investor protection violation2019$379,965
Sica Wealth Management, LLC investor protection violation2020$378,693
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
Comprehensive Capital Management, Inc. investor protection violation2022$375,654
Nordion Inc. Foreign Corrupt Practices Act2016$375,000
Marwood Group Research LLC investor protection violation2015$375,000
Advanced Cell Technology investor protection violation2014$375,000
Apple Seven Advisors Inc. accounting fraud or deficiencies2014$375,000
Ranieri Partners investor protection violation2013$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$375,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004$375,000
Wilmington Savings Fund Society, FSB investor protection violation2016$375,000
The Phoenix Companies, Inc. investor protection violation2014$375,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.