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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
Zomax Inc. insider trading2005$2,000,000
Zimmer Biomet Holdings Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2017$13,022,000
ZBS Group LLP investor protection violation2019$48,461
Yucaipa Master Manager, LLC investor protection violation2018$2,934,312
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
YieldStreet Inc. investor protection violation2023$1,900,000
Yes Entertainment, LLC investor protection violation2000$14,546,808
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002$10,000,000
XBT Corp Sarl dba First Global Credit investor protection violation2019$131,952
Wyser-Pratte Management Co., Inc. and Wyser-Pratte and Co., Inc. investor protection violation2001$400,000
Wyoming Investment Management Services, LLC investor protection violation2015$10,000
Wyeth LLCPfizerpharmaceuticalsForeign Corrupt Practices Act2012$18,876,624
WWW Advisors, Inc. investor protection violation2000$5,000
Wwebnet Inc. accounting fraud or deficiencies2015$15,459,127
Wunderlich Securities, Inc. investor protection violation2011$532,624
WPP plcWPPbusiness servicesForeign Corrupt Practices Act2021$19,100,000
Worthington Energy Inc. investor protection violation2014$25,000
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012$100,000
Worldwide Capital, Inc. investor protection violation2014$7,253,726
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003$500,000,000
World Tree Financial, LLC investor protection violation2021$647,947
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010$200,000
World Financial & Investment Co., Inc. investor protection violation2001$175,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. investor protection violation2004$1,522,500
World Acceptance CorporationWorld Acceptance Corporationfinancial servicesForeign Corrupt Practices Act2020$21,700,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019$1,171,028
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
Woodbridge Group of Companies LLC investor protection violation2019$892,000
Womack Investment Advisers, Inc. investor protection violation2022$677,955
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015$1,153,303
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
Wm Smith & Co. investor protection violation2017$50,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016$2,300,000
Wisteria Global, Inc. investor protection violation2015$1,138,935
Wireline, Inc. investor protection violation2021$650,000
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust investor protection violation2001$18,864,116
Winter, Kloman, Moter & Repp, S.C. investor protection violation2018$33,848
Winston Reed Investments LLC investor protection violation2020$255,850
Winslow and Evans & Crocker, Inc. investor protection violation2021$1,851,787
Winning Kids Inc. investor protection violation2010$2,183,964
Windy Inc. investor protection violation2023$89,979
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$200,000
Windsor Street Capital, L.P. fka Meyers Associates investor protection violation2017$10,000
Wilson-Davis & Company, Inc. investor protection violation2017$310,713
Wilson-Davis & Co., Inc. investor protection violation2019$300,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023$1,327,147
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004$125,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014$18,500,000
Wilmington Savings Fund Society, FSB investor protection violation2016$375,000
Willis Lease Finance Corporation investor protection violation2014$150,000
William R. Hough & Co. investor protection violation2000$3,264,000
William Blair & Company, L.L.C. investor protection violation2017$4,500,000
William Blair & Company LLC investor protection violation2023$10,000,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
Whitebox Advisors investor protection violation2014$1,202,924
WFG Advisors, L.P. investor protection violation2016$100,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021$350,000
Westport Fuels Systems, Inc. Foreign Corrupt Practices Act2019$4,046,000
Westport Capital Markets, LLC investor protection violation2021$1,320,761
Westlands Water District investor protection violation2016$125,000
Westinghouse Air Brake Technologies CorporationWestinghouse Air Brake Technologies (Wabtec)industrial equipmentForeign Corrupt Practices Act2008$288,351
Western Standard investor protection violation2013$111,807
Western Pacific Capital Management, LLC investor protection violation2012$781,940
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Westend Capital Management, LLC investor protection violation2014$150,000
Westbourne Investments Inc. investor protection violation2021$25,000
West Coast Asset Management, Inc. investor protection violation2013$56,186
Wesley Capital Management, LLC investor protection violation2012$232,289
Wells Nelson & Associates, LLC investor protection violation2015$100,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023$125,000,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011$11,000,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019$812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019$17,363,847
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023$35,000,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020$35,000,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016$440,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017$3,500,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014$5,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018$5,108,441
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022$7,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012$6,500,000
Wellesley Asset Management, Inc investor protection violation2023$1,000,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009$10,000,000
Well Advantage investor protection violation2012$14,245,266
Welhouse & Associates, Inc. investor protection violation2015$769,059
Weiss Research, Inc investor protection violation2006$1,991,141
Weiss Asset Management LP investor protection violation2022$6,899,004
Weinberg & Baer LLC accounting fraud or deficiencies2018$62,899
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,304,197
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$250,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$8,100,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.