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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
Expro Group Holdings N.V. investor protection violation2023$7,998,721
EyeCashNetworks, Inc. and Alliance Equities, Inc. investor protection violation2003$688,230
EZTD Inc. investor protection violation2016$1,700,000
F-Squared Investments investor protection violation2014$35,000,000
F.W. Thompson Company Ltd. investor protection violation2000$100,000
Facebook Inc.Meta Platforms Inc.information technologyinvestor protection violation2019$100,000,000
FacePrint Global Solutions, Inc. investor protection violation2008$1,573,825
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000$20,000
FalconStor Software, Inc. investor protection violation2012$2,900,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
FCA Corp. investor protection violation2006$25,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Federated Global Investment Management Corp. investor protection violation2016$1,500,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
Feltl & Company, Inc. investor protection violation2016$183,128
Feltl & Company, Inc. investor protection violation2011$203,172
Feltl Advisors, LLC investor protection violation2021$333,971
Fenway Partners LLC investor protection violation2015$8,716,471
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
FFL Partners investor protection violation2017$75,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020$9,500,000
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Fidelity National Capital Investors, Inc. investor protection violation2004$125,000
Fiduciary Asset Management LLC investor protection violation2012$2,859,858
Fieldman Rolapp & Associates, Inc. investor protection violation2023$127,916
Fieldstone Financial Management Group LLC investor protection violation2019$1,322,971
Fifth Street Management, LLC investor protection violation2018$3,983,660
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013$6,500,000
Fifth Third Securities Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$8,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$709,971
Finance 500, Inc. investor protection violation2008$345,499
Financial Asset Management, Inc. accounting fraud or deficiencies2002$25,000
Financial Design Associates, Inc. investor protection violation2007$300,000
Financial Fiduciaries, LLC investor protection violation2018$40,000
Financial Management Strategies, Inc. investor protection violation2019$185,083
Financial Sherpa, Inc. investor protection violation2019$436,861
Finser International Corporation investor protection violation2020$70,000
First Allied Securities, Inc. investor protection violation2010$1,950,000
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
First Capital Real Estate Investments, LLC investor protection violation2021$3,876,400
First Citizens Asset Management, Inc. investor protection violation2019$62,418
First Citizens Investor Services, Inc. investor protection violation2019$402,665
First Colonial Securities Group, Inc. investor protection violation2000$25,000
First Command Financial Planning, Inc. investor protection violation2004$12,000,000
First Eagle Investment Management and FEF Distributors investor protection violation2015$39,748,260
First Guaranty Bancshares, Inc. investor protection violation2023$600,000
First Hartford Corporation investor protection violation2018$50,000
First Heartland Consultants, Inc. investor protection violation2021$1,045,528
First Kentucky Securities Corporation investor protection violation2019$132,651
First Midstate Inc. investor protection violation2020$175,000
First Midstate Incorporated investor protection violation2016$100,000
First Montauk Securities Corp. investor protection violation2008$100,742
First Mortgage Corporation investor protection violation2016$12,700,000
First National Capital Markets, Inc. investor protection violation2015$100,000
First National Capital Markets, Inc. investor protection violation2019$138,117
First National Community Bancorp Inc investor protection violation2015$175,000
First New York Securities L.L.C. investor protection violation2009$69,008
First Paragon, Inc. investor protection violation2000$1,040,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019$1,005,194
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022$1,825,953
First Reserve Management, L.P. investor protection violation2016$3,500,000
First Southwest Company investor protection violation2008$150,000
First Southwest Company, LLC investor protection violation2016$222,400
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$408,931
First Western Advisors investor protection violation2018$202,767
First Western Capital Management Company investor protection violation2020$200,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
Fixed Income Clearing Corporation investor protection violation2021$8,000,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012$1,817,277
Fleet Specialist, Inc. investor protection violation2004$59,097,469
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004$140,000,000
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015$9,500,000
Florence Capital Advisors, LLC investor protection violation2023$200,000
Flowserve CorporationFlowserveindustrial equipmentForeign Corrupt Practices Act2008$6,574,225
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005$350,000
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023$14,500,000
Flutter Entertainment plcFlutter Entertainment PLCentertainmentForeign Corrupt Practices Act2023$4,000,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016$2,500,000
Focus Financial Associates, Inc. and Focus Development Center, Inc. fraud2006$6,272,264
Focus Media Holding Limited investor protection violation2015$55,600,000
Focus Point Solutions and The H Group investor protection violation2012$1,100,000
Focus Tech Investments, Inc. investor protection violation2000$10,000
Folger Nolan Fleming Douglas Capital Management Inc. investor protection violation2019$59,478
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007$244,921
Fontana Capital, LLC investor protection violation2011$984,790
Forcerank LLC investor protection violation2016$50,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005$700,000
Forepont Capital LLC investor protection violation2023$150,000
Foresee Inc. et al. investor protection violation2023$5,374,482
Foresight Wealth Management, LLC investor protection violation2023$1,893,486
Formula Growth investor protection violation2014$111,743
Fortem Resources, Inc. investor protection violation2021$25,000
Fortius Financial Advisors, LLC investor protection violation2016$94,070
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.