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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
LBMZ Securities, Inc. investor protection violation2017$240,000
Lazarus Management Company LLC investor protection violation2014$60,000
Lazare Industries, Inc. investor protection violation2008$1,975,911
Lazard Capital Markets LLC investor protection violation2008$2,847,008
Layne Christensen Company Foreign Corrupt Practices Act2014$5,100,000
Lawson Financial Corporation investor protection violation2017$396,652
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
Laurel Wealth Advisors, Inc. investor protection violation2019$100,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
Latour Trading LLC investor protection violation2014$16,000,000
Latour Trading LLC investor protection violation2015$8,053,439
Lasalle St. Investment Advisors, L.L.C. investor protection violation2019$458,082
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentForeign Corrupt Practices Act2016$9,000,000
Langley Partners, North Olmsted Partners and Quantico Partners investor protection violation2006$13,517,928
Landwin Management, LLC investor protection violation2017$75,000
LandOak Securities LLC investor protection violation2011$992,140
Landaas & Company investor protection violation2018$598,941
LAN AirlinesLATAM Airlines GroupairlinesForeign Corrupt Practices Act2016$9,400,000
Lally & Co., LLC accounting fraud or deficiencies2014$10,000
Lakeside Capital Management, LLC investor protection violation2014$590,152
Laidlaw & Company (UK) Ltd. investor protection violation2023$822,884
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$200,000
LACE Financial Corp. investor protection violation2010$20,000
LaBranche & Co., LLC investor protection violation2004$63,518,760
LaBarge Inc. accounting fraud or deficiencies2011$200,000
L3 Technologies Inc.L3Harris Technologiesaerospace and military contractingaccounting fraud or deficiencies2017$1,600,000
L.M. Kohn & Company investor protection violation2019$586,882
L.J. Hart and Company investor protection violation2015$100,000
KT Corporation Foreign Corrupt Practices Act2022$6,300,000
Kroll Bond Rating Agency, LLC investor protection violation2023$4,000,000
Kroll Bond Rating Agency Inc. investor protection violation2020$2,010,000
Kraft Heinz CompanyKraft Heinzfood productsaccounting fraud or deficiencies2021$62,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005$22,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016$230,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017$6,230,999
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019$50,000,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015$500,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011$2,742,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014$8,200,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018$241,305
Kovack Advisors, Inc. investor protection violation2019$898,781
Kovack Advisors, Inc. investor protection violation2022$899,513
Kornitzer Capital Management, Inc. investor protection violation2015$50,000
Kornitzer Capital Management, Inc. investor protection violation2019$3,626,995
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022$1,300,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015$30,000,000
Knowledge Leaders Capital, LLC investor protection violation2018$50,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$66,500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002$75,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013$12,000,000
Knelman Asset Management Group investor protection violation2013$60,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017$552,086
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
KMG Chemicals, Inc.Entegriselectrical and electronic equipmentinvestor protection violation2014$150,000
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Kik Interactive Inc. investor protection violation2020$5,000,000
Kiely Financial Services, Inc. investor protection violation2004$154,256
Keyuan Petrochemicals accounting fraud or deficiencies2013$1,000,000
Keypoint Capital Management, LLC investor protection violation2015$77,250
Keygent LLC investor protection violation2016$100,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016$175,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016$440,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
Key Investment Services LLC investor protection violation2024$10,000,000
Key Energy Services Inc.Key Energy Servicesoilfield services and suppliesForeign Corrupt Practices Act2016$5,000,000
Kestra Private Wealth Services, LLC investor protection violation2019$549,003
Kestra Private Wealth Services, LLC investor protection violation2021$299,569
Kestra Advisory Services, LLC investor protection violation2019$6,196,279
Kestra Advisory Services, LLC investor protection violation2021$10,003,172
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004$150,000
Kelmoore Investment Company, Inc. investor protection violation2007$100,000
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015$1,055,197
KBR, Inc.KBRconstruction and engineeringinvestor protection violation2015$130,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018$2,500,000
Katz, Sapper & Miller, LLP investor protection violation2019$101,834
Kaplan & Co., Securities, Inc. investor protection violation2006$100,000
Kandi Technologies Group, Inc. investor protection violation2023$710,000
Kahn Brothers Advisors, LLC investor protection violation2022$847,899
Kading Companies, S.A. and Joning Corp. investor protection violation2000$10,000
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008$9,983,586
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010$12,574,582
JW Korth & Company L.P. investor protection violation2021$176,533
JW Charles Financial Services, Inc. investor protection violation2000$20,000
JustInfo LLC fraud2017$1,293,675
Juniper Networks, Inc.Juniper Networkselectrical and electronic equipmentForeign Corrupt Practices Act2019$11,745,018
JSK Associates, Inc. investor protection violation2011$60,000
JPR Capital Corp. investor protection violation2001$55,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018$135,100,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesForeign Corrupt Practices Act2016$130,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013$200,000,000
JP Turner & Company, LLC investor protection violation2012$416,051
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002$75,000
Joseph Yafeh CPA, Inc. accounting fraud or deficiencies2014$20,000
Jones Lang LaSalle IncorporatedJones Lang LaSallereal estateinvestor protection violation2014$150,000
Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. investor protection violation2021$1,957,053
Johnson ControlsJohnson Controlsautomotive partsForeign Corrupt Practices Act2016$14,362,561
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.