Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Johnson ControlsJohnson Controlsautomotive partsForeign Corrupt Practices Act2016$14,362,561
Johnson & JohnsonJohnson & JohnsonpharmaceuticalsForeign Corrupt Practices Act2011$48,600,000
John Thomas Financial Inc. investor protection violation2013$500,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
John A. Bysko Associates investor protection violation2021$25,000
Joel R. Mogy Investment Counsel, Inc.? investor protection violation2001$12,500
Joe Jolly & Co., Inc. investor protection violation2015$100,000
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016$160,000
JM Financial Institutional Securities Private Limited investor protection violation2012$443,545
JL Capital Management investor protection violation2017$278,289
Jim Poe and Associates, Inc. investor protection violation2013$35,000
JH Partners, LLC investor protection violation2015$225,000
JH Darbie & Co. accounting fraud or deficiencies2018$50,113
JGP Global Gestao de Recursos investor protection violation2013$3,180,424
Jeffrey Slocum & Associates, Inc. investor protection violation2017$300,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014$25,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016$500,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$143,215
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$50,000,000
Jefferies & Co., Inc.Jefferies Financial Groupdiversifiedkickbacks and bribery2006$4,200,000
JDA Software Group Inc.New Mountain Capitalprivate equity (including portfolio companies)accounting fraud or deficiencies2014$750,000
JCSD Capital, LLC investor protection violation2012$94,222
JC Management, Inc. investor protection violation2004$27,991
JBS S.A.JBSfood productsForeign Corrupt Practices Act2020$27,000,000
Jaypee International, Inc. investor protection violation2017$25,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022$150,000
Janus Capital Management LLCJanus Hendersonfinancial servicesinvestor protection violation2004$100,000,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004$875,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016$500,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000$100,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019$241,227
Jamison, Eaton & Wood, Inc. investor protection violation2003$100,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016$780,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015$267,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012$296,900,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011$153,600,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$1,822,438
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021$125,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024$18,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015$1,084,210
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003$135,000,000
J.K. Financial Services, Inc. investor protection violation2022$10,000
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2015$420,000
J.J.B. Hilliard and W.L. Lyons, LLC investor protection violation2019$925,023
J.H. Darbie & Co., Inc. investor protection violation2023$125,000
J.C. Reed & Co. investor protection violation2013$14,910,003
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
ITG Inc. investor protection violation2015$20,300,000
ITG Inc. investor protection violation2018$12,000,000
ITG investor protection violation2017$24,400,000
Island Capital Management LLC, d/b/a Island Stock Transfer investor protection violation2022$404,394
ISC Advisors, Inc. investor protection violation2021$716,345
IRTH Communications, LLC investor protection violation2020$74,233
Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. investor protection violation2017$4,400,000
Ironman Capital Management investor protection violation2014$87,226
Ironbird Capital LLC investor protection violation2014$335,435
IPG Investment Advisors LLC investor protection violation2019$85,294
Inviva Inc. investor protection violation2004$5,000,000
Investools Inc. fraud2009$3,000,000
Investment Street Company and Dynamic Trading of Miami, Inc. investor protection violation2000$25,000
Investment Research Corp investor protection violation2019$33,188
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
Investment Placement Group investor protection violation2011$4,072,027
Investment Partners Ltd. investor protection violation2019$43,384
Investmark Advisory Group LLC investor protection violation2019$103,107
Investacorp Advisory Services, Inc. investor protection violation2019$481,608
Invesco Funds Group, Inc.Invescofinancial servicesinvestor protection violation2004$325,000,000
INTL FCStoneStoneX Groupfinancial servicesaccounting fraud or deficiencies2016$150,000
Intervoice investor protection violation2007$942,628
Intervest International, Inc. investor protection violation2021$205,277
Intertech Solutions, Inc. investor protection violation2018$7,400,000
International Investment Group, LLC investor protection violation2020$35,000,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016$500,000
International Equity Advisors, LLC investor protection violation2005$3,190,000
International Capital Group, LLC investor protection violation2015$3,170,054
International Business Machines CorporationIBM Corp.information technologyForeign Corrupt Practices Act2000$300,000
International Business Machines Corp.IBM Corp.information technologyForeign Corrupt Practices Act2011$10,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
Interinvest Corporation investor protection violation2016$6,900,000
Interface Inc. accounting fraud or deficiencies2020$5,000,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2020$11,500,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023$35,000,000
Integral Financial, LLC investor protection violation2021$85,000
INTECH Investment Management LLC investor protection violation2009$300,000
Institutional Shareholder Services Inc.Genstar Capitalprivate equity (including portfolio companies)investor protection violation2013$300,000
Institutional Investors Advisory Company investor protection violation2017$843,187
Institutional Investor Advisers, Inc. investor protection violation2017$200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.