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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
Explorador Capital Management investor protection violation2014$155,658
eXp World Holdings, Inc. investor protection violation2023$115,000
Exelon CorporationExelonutilities and power generationfraud2023$46,200,000
Exela Technologies, Inc. investor protection violation2022$175,000
Executive Monetary Management, LLC investor protection violation2016$100,000
Exchange Traded Managers Group LLC investor protection violation2023$4,000,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023$8,500,000
Everhart Financial Group, Inc. investor protection violation2016$305,407
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
Everest Capital LLC investor protection violation2020$3,208,226
Eureeca Capital SPC investor protection violation2014$25,000
Ettro Capital Management Corp. investor protection violation2021$60,000
Ethiopian Electric Power investor protection violation2016$6,448,854
Estrada Hinojosa & Company, Inc. investor protection violation2015$40,000
Essex Financial Services, Inc. investor protection violation2017$183,181
Essex Financial Services Inc. investor protection violation2019$645,000
Esos Rings, Inc. investor protection violation2023$613,319
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014$4,070,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009$8,500,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$11,800,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021$10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022$100,000,000
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015$500,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$9,300,000
EricssonEricssontelecommunicationsForeign Corrupt Practices Act2019$539,000,000
Eric Hall & Associates, LLC investor protection violation2018$54,761
ERF Wireless Inc. investor protection violation2014$50,000
Equitystar Capital Management, LLC investor protection violation2018$2,890,518
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003$31,555
EquityAlert.com, Inc. investor protection violation2000$20,000
Equity Services, Inc. investor protection violation2009$300,000
Equity Services Inc. investor protection violation2019$587,017
Equity Acquisition Company Ltd. investor protection violation2023$3,917,436
Equitec Proprietary Markets, LLC investor protection violation2009$2,080,000
Equitas Capital Advisers LLC investor protection violation2013$225,000
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022$50,000,000
Equinox Fund Management, LLC investor protection violation2016$400,000
Equidate Inc. investor protection violation2016$80,000
Equal Earth, Inc. investor protection violation2019$7,655,000
Enzyme Environmental Solutions, Inc. investor protection violation2011$371,135
Envoy Advisory, Inc. investor protection violation2017$51,892
Enviso Capital LLC investor protection violation2017$50,000
Envision Capital Management, Ltd. investor protection violation2011$100,000
EnviraTrends, Inc. investor protection violation2015$150,000
Ensign Peak Advisers Inc. investor protection violation2023$4,000,000
Enigma MPC investor protection violation2020$500,000
ENI S.p.A. and Snamprogetti Netherlands B.V.ENIoil and gasForeign Corrupt Practices Act2010$125,000,000
Eni S.p.A.ENIoil and gasForeign Corrupt Practices Act2020$24,500,000
Energy Innovation Capital Management, LLC investor protection violation2022$853,681
Energy Capital Partners Management LPEnergy Capital Partnersprivate equity (including portfolio companies)investor protection violation2022$1,000,000
Energy & Environmental Investments, LLC and Energy & Environment, Inc. investor protection violation2023$5,428,694
Endocare, Inc. accounting fraud or deficiencies2006$750,000
EnCap Investments L.P.Encap Investmentsprivate equity (including portfolio companies)investor protection violation2018$500,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding investor protection violation2002$4,460,634
EMS Capital LP investor protection violation2019$317,415
Empires Consulting Corp. investor protection violation2023$34,839,951
Empire Stock Transfer, Inc. investor protection violation2016$154,239
Empire Stock Transfer Inc. investor protection violation2014$50,000
Emperor Investments, Inc. investor protection violation2021$25,000
Emission Controls Corporation fraud2005$343,333
Embree Financial Group Inc. investor protection violation2021$97,523
Embraer S.A.Embraeraerospace and military contractingForeign Corrupt Practices Act2016$98,000,000
EM Capital Management, LLC? investor protection violation2012$20,000
Elray Resources, Inc. investor protection violation2016$50,000
Elm Partners Management LLC investor protection violation2018$75,000
Elm Partners Management LLC investor protection violation2023$175,000
Eli Lilly and CompanyEli LillypharmaceuticalsForeign Corrupt Practices Act2012$29,398,734
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008$6,417,122
Elegance Brands et al. investor protection violation2022$2,500,000
Electronic Transaction Clearing Inc. investor protection violation2018$80,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007$490,902
Elbit Imaging Ltd. accounting fraud or deficiencies2018$500,000
Elan Corporation, plcPerrigopharmaceuticalsaccounting fraud or deficiencies2005$15,000,000
El Paso CorporationKinder MorganpipelinesForeign Corrupt Practices Act2007$7,700,000
Egan-Jones Ratings Company investor protection violation2013$30,000
Egan-Jones Ratings Company investor protection violation2022$1,846,000
EFP Rotenberg, LLP accounting fraud or deficiencies2014$50,000
EFG Asset Management (Americas) Corp. investor protection violation2019$62,505
Edwin Shaw LLC investor protection violation2018$544,744
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$100,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015$20,000,000
Educators Financial Services, Inc. investor protection violation2021$790,365
Educators Financial Services, Inc. investor protection violation2022$1,107,490
EDGA Exchange, Inc. and EDGX Exchange, Inc. investor protection violation2015$14,000,000
EDG Management Company, LLC investor protection violation2020$1,026,642
Edelweiss Financial Services Limited investor protection violation2012$568,347
ED Capital Management, LLC investor protection violation2019$75,000
ECP Manager LP investor protection violation2019$122,656
Ecosystem Investment Partners LLC investor protection violation2018$75,000
eBX LLC investor protection violation2012$800,000
EB Financial Group, LLC investor protection violation2012$310,499
Eastside Financial Advisors LLC investor protection violation2021$10,000
East Side Holdings II investor protection violation2014$157,010
Eagle Strategies LLC investor protection violation2020$101,090
Eagle Bancorp, Inc. investor protection violation2022$13,350,493
Eagan Capital Management, LLC investor protection violation2023$50,000
eAdGear Inc. accounting fraud or deficiencies2016$22,640,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.