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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
PlanMember Securities Corporation investor protection violation2019$3,550,660
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2013$300,000
Pipeline Trading Systems LLC investor protection violation2011$1,000,000
Pinnacle Investments LLC investor protection violation2023$476,000
Pinnacle Companies, LLC investor protection violation2019$1,112,000
Pinnacle Capital Markets LLC investor protection violation2010$25,000
Pinnacle Accountancy Group, PLLC accounting fraud or deficiencies2019$300,000
PinkMonkey.com, Inc. fraud2001$20,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004$90,000,000
PIC Renegade Properties, LLC investor protection violation2022$400,000
Phoenix Companies accounting fraud or deficiencies2016$600,000
PHL Variable Insurance Company investor protection violation2014$100,000
PHL Variable Insurance Company investor protection violation2014$375,000
Philips N.V.Royal PhilipsdiversifiedForeign Corrupt Practices Act2023$62,000,000
Philips ElectronicsRoyal PhilipsdiversifiedForeign Corrupt Practices Act2013$4,515,178
Philadelphia Financial Management of San Francisco investor protection violation2013$219,443
PFP Entrust Corp. investor protection violation2022$100,000
Pfizer Inc.PfizerpharmaceuticalsForeign Corrupt Practices Act2012$26,339,944
Petroteq Energy, Inc. investor protection violation2022$1,000,000
Petroforce Energy, LLC investor protection violation2017$300,000
Petro-Suisse Ltd. investor protection violation2013$8,370,000
Personal Financial Planning, Inc. investor protection violation2022$25,000
Pershing Square Capital Management investor protection violation2017$75,000
Perry Corp. investor protection violation2009$150,000
Perini Capital, LLC investor protection violation2022$115,000
Performance Specialist Group LLC investor protection violation2004$2,171,932
Performance Analytics, Inc. investor protection violation2002$75,000
Perella Weinberg Partners LP investor protection violation2023$2,500,000
Perceptive Advisors LLC investor protection violation2009$439,755
Perceptive Advisors LLC investor protection violation2022$1,500,000
Pequot Capital Management, Inc. investor protection violation2010$28,000,000
Pentagon Capital Management investor protection violation2012$98,600,000
Pennant Management, Inc. investor protection violation2018$400,000
Penn West Petroleum Ltd. accounting fraud or deficiencies2017$8,500,000
Pekin Singer Strauss Asset Management Inc investor protection violation2015$150,000
Pegasus Investment Management, LLC investor protection violation2011$95,469
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
PEAK6 Capital Management investor protection violation2013$132,217
PeachCap Tax & Advisory, LLC investor protection violation2021$138,813
PBSJ Corporation Foreign Corrupt Practices Act2015$3,400,000
Payward Ventures, Inc. and Payward Trading Ltd. investor protection violation2023$30,000,000
Paycom Software, Inc.Paycom Softwareinformation technologyinvestor protection violation2021$250,000
Pax World Management Corp. investor protection violation2008$500,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013$30,000
Parker Drilling CompanyParker Drillingoil and gasForeign Corrupt Practices Act2013$4,090,818
Park View School, Inc. investor protection violation2020$30,000
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016$500,000
Park Financial Group, Inc. investor protection violation2007$30,373
Park Avenue Securities LLC investor protection violation2019$564,267
Paritz & Company accounting fraud or deficiencies2017$132,049
Pareteum Corporation investor protection violation2021$500,000
Paratus Financial Inc. investor protection violation2021$97,523
Paramount Group Real Estate Advisor LLC investor protection violation2017$250,000
Parallax Investments, LLC investor protection violation2015$200,000
Parallax Health Sciences Inc. investor protection violation2021$100,000
Paragon Coin Inc. investor protection violation2018$250,000
Paradigm Wealth Advisory, LLC investor protection violation2021$440,103
Paradigm Capital Management, Inc. investor protection violation2014$2,181,771
Panasonic Corp.Panasonicelectrical and electronic equipmentForeign Corrupt Practices Act2018$143,000,000
PanaMed Corp. investor protection violation2004$5,000
Panalpina, Inc.DSVfreight and logisticsForeign Corrupt Practices Act2010$11,329,369
Pan Capital AB investor protection violation2013$662,497
Palmyra Capital Advisors LLC, investor protection violation2010$330,000
Palmer Square Capital Management LLC investor protection violation2020$450,000
Palm Beach Atlantic Financial Group, LLC investor protection violation2019$75,000
Palestra Capital Management LLC investor protection violation2017$180,968
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000$26,200,000
Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. investor protection violation2017$536,886
Pacific Investment Management Company LLC (PIMCO) investor protection violation2023$9,000,000
Pacific Investment Management Company (PIMCO) investor protection violation2016$19,829,807
Pacific Growth Equities, LLC investor protection violation2007$425,000
Pacific Air Transport investor protection violation2001$1,364,692
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013$225,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$50,000,000
P.A.W. Capital Partners, L.P. investor protection violation2014$68,000
OZ Management LPSculptor Capital Managementfinancial servicesdata submission deficiencies2015$4,250,000
Oxford Investment Partners, LLC investor protection violation2013$274,295
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$250,000
Oxford City Football Club, Inc. investor protection violation2017$6,853,358
Oxbow Advisors, LLC investor protection violation2020$321,958
Ox Trading, LLC, et al. investor protection violation2013$50,000
Owen-Joseph Asset Management Corp.? investor protection violation2000$68,000
Overseas Shipholding GroupOverseas Shipholding Groupfreight and logisticsaccounting fraud or deficiencies2017$5,000,000
Outset Global LLP investor protection violation2019$207,409
OUM & Co. accounting fraud or deficiencies2014$10,000
OTR, Inc. investor protection violation2020$10,000
OTC Solutions LLC investor protection violation2014$373,239
OTC Global Partners, LLC investor protection violation2016$87,499
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017$1,500,000
Osaic Wealth, Inc. investor protection violation2023$100,000
Orthofix International N.V.Orthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2012$5,200,000
Orthofix InternationalOrthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2017$14,250,000
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016$1,000,000
Orinda Asset Management, LLC investor protection violation2016$75,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008$41,774,923
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2012$2,000,000
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2022$23,000,000
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.