Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$80,470,232,936
Number of Penalty Records: 
6,468
Note: 
The totals here are adjusted to account for the fact that each parent's entries 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. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,547,438,962115
UBS$11,679,855,33361
Citigroup$8,176,245,73063
JPMorgan Chase$6,010,421,20671
Morgan Stanley$4,209,326,733141
Deutsche Bank$4,049,166,82840
Goldman Sachs$3,904,979,98440
Wells Fargo$2,487,362,73582
American International Group$1,623,560,00010
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Securities America Advisors Inc. Reverence Capital Partners private equity (including portfolio companies) 2018 SEC $5,828,448
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2020 SEC $603,776
Securities America Advisors, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 SEC $1,750,000
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2013 MA-SEC $150,000
Securities America Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 OR-FIN $100,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 IN-SEC $11,018
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2012 MT-SEC $115,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2016 NE-DBF $40,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2015 FINRA $752,686
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2011 FINRA $250,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2009 FINRA $55,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2007 FINRA $322,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2006 FINRA $16,300,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2005 FINRA $2,400,000
Securities America, Inc. Reverence Capital Partners private equity (including portfolio companies) 2021 VA-SEC $25,000
Securities Compliance Department   2005 MO-SEC $13,298
Securities Compliance Group, Ltd.   2018 SEC $27,655
Securities Service Network, Inc. and SSN Advisory, Inc.   2015 MO-SEC $550,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2000 FL-OFR $10,000
Securities Services Network, Inc. Reverence Capital Partners private equity (including portfolio companies) 2002 FL-OFR $14,938
Securities Transfer Corporation   2011 SEC $10,000
Security Asset Management, Inc. and Security Asset Capital Corp.   2001 FL-OFR $20,000
Security Capital Research & Management Incorporated   2014 SEC $88,000
Security Trust Company, N.A.   2004 SEC $1,000,000
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
SEED Corp.   2014 AZ-SEC $2,674,654
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
SEI Investments Global Funds Services   2018 SEC $225,000
Select Asset Management LLC   2008 TX-SEC $7,500
Select Money Management, Inc.   2019 SEC $61,558
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
Selway Asset Management Inc.   2020 ID-SEC $10,000
Semper Capital Management, L.P.   2020 SEC $503,228
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Senior Financial Strategies, Inc.   2011 IL-SEC $10,000
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
SENIOR RETIREMENT SERVICES INC   2002 VA-SEC $125,250
Sensuss, Inc.   2017 MD-SEC $85,000
Sentinel Financial Services Company   2004 FINRA $700,000
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC   2015 CFTC $378,767
Sequoia Group, Inc.   2011 IL-SEC $11,500
Serafino Holdings, L.L.C.   2011 NJ-AG $8,250,000
Service Team Inc. and Hallmark Venture Group Inc.   2017 OK-SEC $132,000
Service Team, Inc.   2014 CO-SEC $25,000
Severn Funding & Investment Ltd.   2020 MI-SEC $20,000
Severns Properties, LLC and Severns Capital, LLC   2008 AZ-SEC $3,631,115
SF Investments Inc.   2005 TN-SEC $21,325
SF Investments, Inc.   2017 ME-SEC $5,000
SFX Financial Advisory Management Enterprises, Inc.   2015 SEC $150,000
SG Americas Securities LLC Societe Generale financial services 2015 SEC $1,011,093
SG Americas Securities LLC Societe Generale financial services 2020 SEC $1,550,000
SG Americas Securities LLC (Societe Generale) Societe Generale financial services 2018 SEC $800,000
SG Americas Securities, Inc. Societe Generale financial services 2013 FINRA $675,000
SG Americas Securities, LLC Societe Generale financial services 2016 CFTC $750,000
SG Americas Securities, LLC Societe Generale financial services 2009 SEC $8,384,932
SG Americas Securities, LLC Societe Generale financial services 2020 FINRA $1,550,000
SG Americas Securities, LLC Societe Generale financial services 2005 FINRA $4,478,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities Corporation Cowen Inc. financial services 2004 SEC $125,000
SG Cowen Securities Corporation Cowen Inc. financial services 2003 SEC $5,000,000
SG Cowen, LLC Cowen Inc. financial services 2004 FINRA $800,000
Shaar 2, LLC   2017 MI-SEC $20,000
Shadow Beverages and Snacks, LLC   2017 AZ-SEC $1,542,500
Shamrock Asset Management LLC   2016 SEC $200,000
Shanklin Capital Management Inc.   2005 TN-SEC $10,000
Sharespost, Inc.   2012 SEC $80,000
ShareValue, Inc.   2009 MO-SEC $9,000
Sharpe Signa, LLC and Haeres Capital, LLC   2015 CFTC $70,000
Sheenson Investments, Ltd.   2012 CFTC $1,500,000
Shell International Trading and Shipping Co. Royal Dutch Shell oil and gas 2006 CFTC $200,000
Shelton Financial Group, Inc.   2015 SEC $190,066
Shemano Capital Management   2005 CA-DFPI $54,250
Sherri's Fun Foods, Inc. d/b/a Sherri's Crab Cakes   2015 VA-SEC $5,000
Shields Capital Corporation   2010 NE-DBF $5,180
ShiftPixy, Inc.   2021 SEC $25,000
ShipChain, Inc.   2020 SEC $2,050,000
SHK Management LLC   2013 CFTC $400,000
SHOCKHOE BOTTOM ENTERPRISES   2006 VA-SEC $8,500
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications   2001 SEC $41,727,403
Sica Wealth Management, LLC   2020 SEC $378,693
Sidoti & Company LLC   2017 SEC $100,000
Siebel Systems, Inc. Oracle information technology 2002 SEC $250,000
Siebert Brandford Shank & Co., LLC   2015 SEC $240,000
Sierra Financial Advisors, LLC   2010 SEC $14,599
Sierra Pacific Mortgage Company Inc.   2002 OR-FIN $20,360
SIG Specialists, Inc.   2004 SEC $3,033,589
Sigh of Relief, Life and Financial, Inc. and SOR Capital, LLC   2015 WA-FIN $20,000
Sigma Capital Management   2013 SEC $13,944,000
SIGMA Financial Corporation   2009 FINRA $50,000
Sigma Financial Corporation   2004 FINRA $135,000
Sigma Planning Corp.   2019 SEC $2,546,718
Signal Capital Management LLC   2020 WA-SEC $5,000
Signal Lake General Partner LLC   2018 CT-SEC $100,000
Signal Lake Management, LLC   2018 CT-SEC $100,000
Signal Securities Inc.   2000 SEC $50,000
Signator Investors, Inc.   2015 SEC $450,000
Signature Financial Services, Ltd.   2020 SEC $276,580
Signed, Sealed & Delivered, Inc.   2006 WA-FIN $20,000
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(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.