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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,255,717,458
Number of Records: 2,801
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
Natixis Securities Americas LLC investor protection violation2018$1,250,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
National Trust and Fiduciary Services Company, Inc. investor protection violation2023$346,799
National Stock Transfer Inc. investor protection violation2000$5,000
National Securities Corporation investor protection violation2014$60,000
National Investment Enterprises, Inc. fraud2004$2,602,490
National Institute Companies of America, Inc. investor protection violation2004$1,600,000
National Financial Services LLC investor protection violation2020$2,461,193
National Clearing Corporation investor protection violation2006$2,000,000
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021$481,920
National Asset Management, Inc. investor protection violation2019$733,423
NATCO Group Inc.Schlumbergeroilfield services and suppliesForeign Corrupt Practices Act2010$65,000
NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLCNasdaq Inc.financial servicesinvestor protection violation2013$10,000,000
Nano-X Imaging Ltd. investor protection violation2023$650,000
N.V.N.G. Investments, Inc. investor protection violation2022$15,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019$30,000,000
MVP Manager LLC investor protection violation2019$249,739
Mutual Coin Fund LLC investor protection violation2019$10,000
MusclePharm Corporation accounting fraud or deficiencies2015$700,000
Murchinson Ltd. investor protection violation2021$8,878,183
Municipal Finance Services, Inc. investor protection violation2017$50,000
Municipal Capital Markets Group, Inc. investor protection violation2016$60,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018$1,400,000
MRA Advisory Group investor protection violation2023$85,000
Mount Kellett Capital Management LP? investor protection violation2018$160,000
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007$25,000,000
Motilal Oswal Securities Limited investor protection violation2012$821,594
Mosaic Capital, LLC investor protection violation2019$250,000
Mortgage Industry Advisory Corporation investor protection violation2023$100,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2020$3,500,000
Morningstar Credit Ratings, LLCMorningstar Inc.miscellaneous servicesinvestor protection violation2022$1,150,000
Morgan Wilshire Securities, Inc. investor protection violation2020$179,017
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$225,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$1,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$1,545,758
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$35,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$13,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$8,000,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2018$3,600,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015$8,800,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$50,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$7,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2024$83,000,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$1,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003$125,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000$2,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006$10,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2005$40,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014$275,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$125,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011$200,000,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
Moret Ernst & Young Accountants accounting fraud or deficiencies2002$400,000
Moors & Cabot, Inc. investor protection violation2023$1,899,456
Moon River Studios, Inc. investor protection violation2018$1,824,368
Moon Capital Management, LP? investor protection violation2008$139,071
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$1,250,000
Moody's Investors Service, Inc.Moody'sinformation technologyinvestor protection violation2018$15,000,000
Montgomery Street Research, LLC investor protection violation2015$342,718
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009$2,500,000
Monster Arts Inc. investor protection violation2014$25,000
Monsoon Capital, LLC investor protection violation2020$100,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016$80,000,000
Monsanto CompanyBayerchemicalsForeign Corrupt Practices Act2005$500,000
Monroe Capital Management Advisors, LLC investor protection violation2023$1,000,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$1,926,579
Monolith Resources LLC workplace whistleblower retaliation2023$225,000
Monness, Crespi, Hardt & Co., Inc. investor protection violation2014$150,000
Monex Asset Management Inc. investor protection violation2024$30,000
Mondial Ventures Inc. investor protection violation2014$50,000
Mondelez International, Inc.Mondelez Internationalfood productsaccounting fraud or deficiencies2017$13,000,000
Momentus Inc. investor protection violation2021$7,000,000
Momentum Investment Partners LLC dba Avatar Investment Management investor protection violation2017$193,676
Moloney Securities Co., Inc. investor protection violation2016$41,500
Mohlman Asset Management, LLC and Mohlman Asset Management Fund, LLC investor protection violation2017$100,937
Moelis & Company LLC investor protection violation2023$10,000,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016$1,600,000
Modern Portfolio Management Inc. investor protection violation2013$175,000
Mobile TeleSystems PJSCMobile TeleSystems PJSCtelecommunicationsForeign Corrupt Practices Act2019$100,000,000
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
MKJJ Consulting LLC investor protection violation2017$2,973,916
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2018$1,250,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023$25,000,000
Mizuho Financial GroupMizuho Financialfinancial servicesinvestor protection violation2012$127,500,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016$20,000
MIO Partners Inc. investor protection violation2021$18,000,000
Minot DeBlois Advisors LLC investor protection violation2021$97,523
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.