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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
PanaMed Corp. investor protection violation2004$5,000
BNB Capital, Inc. investor protection violation2002$5,000
National Stock Transfer Inc. investor protection violation2000$5,000
WWW Advisors, Inc. investor protection violation2000$5,000
Asset Timing Corp. investor protection violation2000$5,000
CW Petroleum Corp. investor protection violation2023$5,000
Research Capital, LLC investor protection violation2003$6,337
3C Advisors & Associates, Inc. investor protection violation2016$7,500
Millennium Group of New York, LLC investor protection violation2001$7,602
OUM & Co. accounting fraud or deficiencies2014$10,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$10,000
Wyoming Investment Management Services, LLC investor protection violation2015$10,000
Lally & Co., LLC accounting fraud or deficiencies2014$10,000
Securities Transfer Corporation investor protection violation2011$10,000
Lone Star Transfer, Inc. investor protection violation2002$10,000
ND Money Management, Inc. investor protection violation2002$10,000
RansonCapital Corporation investor protection violation2002$10,000
Stan D. Kiefer & Associates investor protection violation2002$10,000
United Stock Transfer Inc. investor protection violation2001$10,000
Focus Tech Investments, Inc. investor protection violation2000$10,000
Adar International investor protection violation2000$10,000
Longman & Associates, Inc. investor protection violation2000$10,000
Kading Companies, S.A. and Joning Corp. investor protection violation2000$10,000
Alpha Tech Stock Transfer Trust investor protection violation2000$10,000
Mutual Coin Fund LLC investor protection violation2019$10,000
School Services of California, Inc. investor protection violation2019$10,000
OTR, Inc. investor protection violation2020$10,000
Dynamic Trading Management LLC investor protection violation2021$10,000
Eastside Financial Advisors LLC investor protection violation2021$10,000
Sauberan & Company LLC investor protection violation2021$10,000
Bill Parker Agency investor protection violation2021$10,000
Birkelbach & Co. investor protection violation2021$10,000
Greentree Investment Services Inc. investor protection violation2021$10,000
ST Invest LLC d/b/a Trade App investor protection violation2021$10,000
Lexion Capital Management LP investor protection violation2021$10,000
Banyan Securities, LLC investor protection violation2022$10,000
Church, Gregory, Adams Securities Corporation investor protection violation2022$10,000
J.K. Financial Services, Inc. investor protection violation2022$10,000
The Winning Edge Financial Group, Inc. investor protection violation2022$10,000
DNA Brands Inc. investor protection violation2023$10,000
The Marquie Group Inc. investor protection violation2023$10,000
Joel R. Mogy Investment Counsel, Inc.? investor protection violation2001$12,500
Sierra Financial Advisors, LLC investor protection violation2010$14,599
BKD LLP accounting fraud or deficiencies2014$15,000
Berman & Co. P.A. accounting fraud or deficiencies2014$15,000
HBA Advisors, LLC investor protection violation2018$15,000
Romano Brothers & Company investor protection violation2018$15,000
D.M. Keck & Company, Inc. investor protection violation2007$15,000
Gemisys Corporation investor protection violation2002$15,000
Arthur Zaske & Associates, LLC investor protection violation2022$15,000
N.V.N.G. Investments, Inc. investor protection violation2022$15,000
Umbrella Research, LLC investor protection violation2017$16,676
Guaranteed Investigations, Inc. investor protection violation2019$16,846
CSIR Group, LLC investor protection violation2018$17,142
Redfin Network Inc. accounting fraud or deficiencies2014$19,480
Sand Hill Exchange investor protection violation2015$20,000
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013$20,000
PinkMonkey.com, Inc. fraud2001$20,000
EquityAlert.com, Inc. investor protection violation2000$20,000
JW Charles Financial Services, Inc. investor protection violation2000$20,000
New Concepts, L.L.C. investor protection violation2000$20,000
Delaney Equity Group LLC investor protection violation2016$20,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$20,000
Joseph Yafeh CPA, Inc. accounting fraud or deficiencies2014$20,000
EM Capital Management, LLC? investor protection violation2012$20,000
Asset Advisors, LLC investor protection violation2011$20,000
LACE Financial Corp. investor protection violation2010$20,000
Consulting Services Group, LLC investor protection violation2007$20,000
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000$20,000
Gold Asset Management, Inc. investor protection violation2000$20,000
Collaborative Financial Consulting LLC investor protection violation2023$20,000
Luther Speight & Company, LLC investor protection violation2023$20,000
Hologram USA Networks Inc. investor protection violation2020$22,419
Research Investment Group, Inc. investor protection violation2004$24,721
APT MotoVox Group Inc. investor protection violation2014$25,000
CoroWare Inc. investor protection violation2014$25,000
MineralRite Corporation investor protection violation2014$25,000
Monster Arts Inc. investor protection violation2014$25,000
Red Giant Entertainment Inc. investor protection violation2014$25,000
Worthington Energy Inc. investor protection violation2014$25,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009$25,000
Financial Asset Management, Inc. accounting fraud or deficiencies2002$25,000
Loop Capital Markets, LLC investor protection violation2017$25,000
Jaypee International, Inc. investor protection violation2017$25,000
Berman & Company, P.A. investor protection violation2017$25,000
Dupree Financial Group, LLC investor protection violation2016$25,000
Bluefire Renewables, Inc. investor protection violation2016$25,000
Messineo & Co., CPAs, LLC investor protection violation2015$25,000
New Line Capital, LLC investor protection violation2015$25,000
Eureeca Capital SPC investor protection violation2014$25,000
Colorado Financial Service Corporation investor protection violation2014$25,000
Revolutionary Concepts, Inc. investor protection violation2018$25,000
Pinnacle Capital Markets LLC investor protection violation2010$25,000
United Global Securities, Inc. investor protection violation2009$25,000
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
Cardiff Lexington Corporation investor protection violation2018$25,000
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
FCA Corp. investor protection violation2006$25,000
Freedom Financial, Inc. investor protection violation2004$25,000
Mid-Ohio Securities Corp. investor protection violation2003$25,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.