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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
Institutional Investor Advisers, Inc. investor protection violation2017$200,000
Instinet, LLC and INET ATS, Inc. investor protection violation2005$700,000
Instinet LLC investor protection violation2013$813,280
Insight Venture Management LLC investor protection violation2023$2,364,958
InSight Securities Inc. investor protection violation2024$20,000
Innovative Business Solutions, LLC investor protection violation2016$357,986
Innospec Inc.InnospecchemicalsForeign Corrupt Practices Act2010$11,200,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009$15,000,000
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
Infrax Systems Inc. investor protection violation2018$50,000
Infinex Investments, Inc. investor protection violation2019$978,698
INET ATS, Inc. investor protection violation2006$350,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$1,250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019$42,700,000
India Globalization Capital, Inc. investor protection violation2020$175,000
Independent Financial Group LLC investor protection violation2019$1,426,150
Indaba Capital Management investor protection violation2014$304,185
In Ovations Holdings, Inc. investor protection violation2022$150,000
Imperium Advisors, LLC investor protection violation2007$119,964
Impact Theory, LLC investor protection violation2023$6,100,000
IMC Chicago, LLC investor protection violation2022$125,000
IMC Asset Management, Inc. investor protection violation2013$30,000
Igen Networks Corp. investor protection violation2021$25,000
IFS Securities investor protection violation2019$50,000
IFP Advisors, LLC investor protection violation2022$400,000
IFMG Securities, Inc. investor protection violation2006$1,000,000
IEC Electronics Corp. accounting fraud or deficiencies2016$200,000
Idle Media Inc. accounting fraud or deficiencies2015$50,000
ICP Asset Management investor protection violation2012$18,275,033
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019$5,500,000
Icon Capital accounting fraud or deficiencies2016$750,000
ICOBox investor protection violation2020$16,059,428
ICO Rating investor protection violation2019$268,998
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002$1,000,000
ICE Data Pricing & Reference Data LLC investor protection violation2020$8,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015$4,200,000
iCapital Markets LLC investor protection violation2002$6,300,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
IC Advisory Services Inc. investor protection violation2019$1,195,186
IBC Funds, LLC investor protection violation2016$2,482,850
i2 Technologies, Inc. accounting fraud or deficiencies2004$10,000,000
Hyzon Motors Inc. fraud2023$25,000,000
Hyperdynamics Corporation investor protection violation2015$75,000
Hydrogen Technology Corporation investor protection violation2023$2,796,234
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$1,000,000
Huntleigh Advisors, Inc. investor protection violation2023$843,502
Huntington Investment Company investor protection violation2024$1,250,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
Hudson Housing Capital LLC investor protection violation2018$65,000
Hudson Highland Group accounting fraud or deficiencies2011$200,000
Hudson Bay Capital Management investor protection violation2013$949,453
Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd. investor protection violation2022$79,700,000
HT Partners LLC investor protection violation2016$100,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020$725,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023$15,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014$12,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
HQDA Elderly Life Network Corp. investor protection violation2021$50,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$6,000,000
Howarth Financial Services, LLC investor protection violation2017$203,444
Houston American Energy Corp. investor protection violation2015$400,000
House Asset Management, L.L.C. and House Edge, L.P. investor protection violation2005$1,375,767
Houlihan Lokey Capital, Inc. investor protection violation2023$15,000,000
Horter Investment Management, LLC investor protection violation2017$778,804
Horseman Capital Management, L.P.? investor protection violation2011$1,484,952
Hope Capital, Inc. investor protection violation2016$579,747
Hope Advisors, LLC investor protection violation2018$1,487,235
Honeywell International Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2022$81,000,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017$500,000
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015$1,500,000
Holthouse Carlin & Van Trigt LLP? investor protection violation2018$300,000
Hologram USA Networks Inc. investor protection violation2020$22,419
Hold Brothers Online Investment Services, LLC investor protection violation2017$707,764
Hold Brothers On-Line Investment Services investor protection violation2012$2,535,000
HITE Hedge Asset Management LLC et al. investor protection violation2023$214,591
Hitachi Ltd.HitachidiversifiedForeign Corrupt Practices Act2015$19,000,000
Hinsdale Associates, Inc. investor protection violation2022$25,000
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020$600,000
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016$360,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021$340,193
Hill International, Inc. accounting fraud or deficiencies2020$500,000
Hightimes Holding Corp investor protection violation2023$558,071
Highpoint Advisor Group, LLC investor protection violation2022$764,737
Highlander Capital Management, LLC investor protection violation2023$150,000
Highland Capital Partners LLC investor protection violation2022$95,000
Highland Capital Management, L.P. investor protection violation2014$225,000
HG Vora Capital Management LLC investor protection violation2024$950,000
Hewlett-PackardHP Inc.electrical and electronic equipmentForeign Corrupt Practices Act2014$31,500,000
Herzog, Heine, Geduld, LLC investor protection violation2006$1,500,000
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018$16,000,000
Herman's World of Sports, Inc. investor protection violation2005$663,685
Herbert J. Sims & Co., Inc. investor protection violation2021$250,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsForeign Corrupt Practices Act2020$67,000,000
HEP Management Corp. investor protection violation2018$75,000
Henning-Carey Proprietary Trading, LLC investor protection violation2016$110,000
Hennessee Group LLC investor protection violation2009$814,644
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.