Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$79,626,798,768
Number of Penalty Records: 
6,329
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$13,535,778,962113
UBS$11,671,743,15960
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
Sequoia Group, Inc.   2011 IL-SEC $11,500
Sentry Asset Group, LLC d/b/a Sentry Asset Management, LLC   2015 CFTC $378,767
Sentra Securities Corporation and Spelman & Co., Inc.   2005 FINRA $780,000
Sentinel Financial Services Company   2004 FINRA $700,000
Sensuss, Inc.   2017 MD-SEC $85,000
SENIOR RETIREMENT SERVICES INC   2002 VA-SEC $125,250
Senior Resources Asset Fund, LLC   2006 SEC $3,699,203
Senior Financial Strategies, Inc.   2011 IL-SEC $10,000
Senior Financial Advisors, Inc.   2017 CT-SEC $10,000
Senior Estate Planning Group, Inc. et al.   2002 WA-FIN $20,000
Senior Benefit Advisors, Inc.   2008 CA-DFPI $15,000
Sempra Energy Trading LLC Sempra Energy utilities and power generation 2008 CFTC $175,000
Semper Capital Management, L.P.   2020 SEC $503,228
Selway Asset Management Inc.   2020 ID-SEC $10,000
Sellman Weis Mortgage & Investment Corp.   2010 AZ-SEC $5,000
Select Money Management, Inc.   2019 SEC $61,558
Select Asset Management LLC   2008 TX-SEC $7,500
SEI Investments Global Funds Services   2018 SEC $225,000
SEI Investments Distribution Company and SEI Investments Company   2004 SEC $375,000
SEED Corp.   2014 AZ-SEC $2,674,654
SEDONA OIL & GAS CORPORATION   2010 VA-SEC $7,000
Security Trust Company, N.A.   2004 SEC $1,000,000
Security Capital Research & Management Incorporated   2014 SEC $88,000
Security Asset Management, Inc. and Security Asset Capital Corp.   2001 FL-OFR $20,000
Securities Transfer Corporation   2011 SEC $10,000
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 Service Network, Inc. and SSN Advisory, Inc.   2015 MO-SEC $550,000
Securities Compliance Group, Ltd.   2018 SEC $27,655
Securities Compliance Department   2005 MO-SEC $13,298
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 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 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) 2018 SEC $5,828,448
Securities America Reverence Capital Partners private equity (including portfolio companies) 2014 FINRA $625,000
Securian Financial Services, Inc. Securian Financial financial services 2020 AK-DBS $10,000
Securian Financial Services, Inc. Securian Financial financial services 2009 MO-SEC $79,445
Securian Financial Services Inc. Securian Financial financial services 2009 TX-SEC $50,000
Secured Financial Services, Inc.   2005 MD-SEC $17,500
Secure Solutions, LLC   2019 KY-FIN $94,326
Secure Resolutions, Inc.   2010 AZ-SEC $3,685,653
Secure Money Advisors   2020 PA-BKG $200,000
Section 8 Creations, Inc.   2014 MO-SEC $24,430
Secondmarket, Inc.   2016 SEC $53,755
SeaWorld Entertainment Inc. SeaWorld Entertainment entertainment 2018 SEC $4,000,000
Seawolf Capital   2014 SEC $296,937
Seattle Business Associates, LLC and Hanbleceya Seattle Real Estate, LLC   2013 WA-FIN $7,500
Seascape Management Co., LLC   2007 ID-SEC $23,000
SeaQuest Holdings LLC   2017 ID-SEC $5,000
Seaniemac International Ltd.   2014 SEC $50,000
Seacret Direct, LLC   2014 MT-SEC $5,000
Seacoast Investor Services, Inc.   2012 FL-OFR $180,300
SE Ohio Shale & Oriskany Development   2018 CT-SEC $10,000
SDC Montana Consulting, LLC   2013 AZ-SEC $25,000
Scudder Distributors, Inc.   2007 FINRA $425,000
Scottsdale Financial Funding Group, LLC   2003 AZ-SEC $3,391,570
Scottrade, Inc. Charles Schwab Corp. financial services 2008 SEC $950,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $2,600,000
Scottrade, Inc. Charles Schwab Corp. financial services 2015 FINRA $300,000
Scottrade, Inc. Charles Schwab Corp. financial services 2010 FINRA $200,000
Scottrade, Inc. Charles Schwab Corp. financial services 2005 FINRA $250,000
Scottrade, Inc. Charles Schwab Corp. financial services 2004 FINRA $16,000
Scottrade Inc. Charles Schwab Corp. financial services 2016 TX-SEC $100,000
Scott Schultz Closed-End Funds, Inc.   2018 MI-SEC $10,000
Scott & Stringfellow, Inc.   2000 FINRA $393,263
SCOTT & STRINGFELLOW LLC   2011 VA-SEC $25,000
Scotia Capital Inc. Scotiabank financial services 2010 CFTC $250,000
Scorsesi Makeup, LLC   2016 MI-SEC $20,000
Schwab Capital Markets, L.P. Charles Schwab Corp. financial services 2004 FINRA $70,000
Schwab Capital Markets Charles Schwab Corp. financial services 2001 FINRA $12,000
Schuster Financial LLC   2020 MN-FIN $20,000
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-BKG $10,510
Schupp & Grochmal, LLC Schupp & Grochmal financial services 2020 CT-SEC $7,500
Schultz Investment Advisors, Inc.   2005 SEC $114,534
Schulman Lobel Zand Katzen Williams & Blackman and LLP   2020 SEC $98,510
School Services of California, Inc.   2019 SEC $10,000
School Business Consulting, Inc   2016 SEC $30,000
Schonfeld & Company LLC   2006 FINRA $175,000
Schneider Downs Wealth Management Advisors, LP   2016 SEC $100,000
Schmidt Baking Distribution, LLC   2019 MD-SEC $32,500
Schering-Plough Corporation Merck pharmaceuticals 2003 SEC $1,000,000
Schaefer Wealth Management, Inc.   2018 MO-SEC $20,000
SCF Investment Advisors, Inc.   2020 SEC $767,192
SCDC Management Company, LLC   2010 MD-SEC $15,000
Scanwood Limited Inc. and AOS Inc.   2019 NH-BSR $92,342
Scanlon & Associates   2001 FL-OFR $25,000
Scanlan Realty & Investments, Ltd.   2012 IL-SEC $20,000
SCANA Corp. Dominion Energy utilities and power generation 2020 SEC $137,500,000
SBU, Inc.   2003 IL-SEC $20,000
SBG Forever, Inc. et al.   2013 IN-SEC $17,465
SB Financial Group   2020 WI-FIN $25,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
(*): 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.