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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
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000$3,500,000
Americafirst Capital Management, LLC investor protection violation2018$50,000
American Bondholders Foundation, LLC investor protection violation2020$65,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$3,706,693
American Infrastructure Funds LLC investor protection violation2023$1,600,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004$46,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003$10,000,000
American Life, Inc. investor protection violation2016$1,000,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010$850,000
American Portfolios Advisers Inc. investor protection violation2018$1,145,353
American Portfolios Financial Services, Inc. and American Portfolios Advisors, Inc. investor protection violation2020$1,305,660
American Registrar & Transfer Company investor protection violation2016$25,649
American Renal Associates Holdings, Inc. investor protection violation2021$2,000,000
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
American-Amicable Life Insurance Company of Texas, Pioneer American Insurance Company, and Pioneer Security Life Insurance Company investor protection violation2006$10,000,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018$230,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018$4,500,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017$8,750,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022$4,628,194
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019$3,389,174
Ameritrust Corporation investor protection violation2023$15,802,376
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017$150,000
AMMB Consultant Sendirian Berhad investor protection violation2012$1,550,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
AmTrust Financial Services Inc.Stone Point Capitalprivate equity (including portfolio companies)investor protection violation2020$10,300,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021$300,000
An L.A. Minute LLC investor protection violation2020$100,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008$3,000,000
Analogic Corp.Altaris Capital Partnersprivate equity (including portfolio companies)Foreign Corrupt Practices Act2016$11,470,000
Anamar Communications, Inc. investor protection violation2002$136,917
Ancora Advisors LLC investor protection violation2018$100,000
Andeavor LLCMarathon Petroleumoil and gasaccounting fraud or deficiencies2020$20,000,000
Andiamo Corporation investor protection violation2021$150,000
Andover Brokerage, LLC investor protection violation2003$151,876
Angel Oak Capital Advisors, LLC investor protection violation2022$1,750,000
Angel Oak Capital Partners, LLC investor protection violation2017$3,666,370
Anheuser-Busch InBevAnheuser-Busch InBevbeveragesForeign Corrupt Practices Act2016$6,000,000
Anson Advisors Inc investor protection violation2023$3,330,394
Antipodean Advisors investor protection violation2014$93,672
AOC Securities LLC investor protection violation2019$250,000
Aon CorporationAonfinancial servicesForeign Corrupt Practices Act2011$14,545,020
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024$1,542,187
Apex Financial Advisors Inc. investor protection violation2023$130,000
Apex Fund Services (US), Inc. investor protection violation2016$171,836
Apexium Financial LP investor protection violation2023$150,000
Apollo Global ManagementApollo Global Managementprivate equity (including portfolio companies)investor protection violation2016$52,700,000
App Annie Inc. investor protection violation2021$10,000,000
Appaloosa Management L.P. investor protection violation2010$1,304,523
Apple Eight Advisors Inc. accounting fraud or deficiencies2014$437,500
Apple Nine Advisors Inc. accounting fraud or deficiencies2014$250,000
Apple Seven Advisors Inc. accounting fraud or deficiencies2014$375,000
Apple Six Advisors Inc. accounting fraud or deficiencies2014$437,500
Applied BioSciences Corp. investor protection violation2020$25,000
Applied Financial Group Inc. investor protection violation2005$50,000
Appomattox Advisory, Inc. investor protection violation2023$150,000
APT MotoVox Group Inc. investor protection violation2014$25,000
AR Capital LLC investor protection violation2019$53,000,000
Arcadia Wealth Management, Inc. investor protection violation2022$90,000
Archer-Daniels-Midland CompanyArcher Daniels MidlandagribusinessForeign Corrupt Practices Act2013$36,000,000
Archipelago Trading Services Inc. investor protection violation2023$1,500,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017$15,500,000
Ardsley Advisory Partners investor protection violation2013$815,071
Ares Management LLCAres Managementprivate equity (including portfolio companies)investor protection violation2020$1,000,000
Argo Group International Holdings, Ltd. investor protection violation2020$900,000
Aria Partners GP, LLC investor protection violation2018$150,000
Aristeia Capital, LLC investor protection violation2011$1,762,776
Ark Asset Management Co., Inc. investor protection violation2010$750,000
Arlington Capital Management, Inc. investor protection violation2018$125,000
Armor Holdings Inc.BAE Systemsaerospace and military contractingForeign Corrupt Practices Act2011$5,700,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd. investor protection violation2007$1,795,000
ARRG Corp. investor protection violation2016$410,753
ARS Capital Advisors, Inc. investor protection violation2022$25,000
Artemis Wealth Advisors, LLC investor protection violation2023$150,000
Arthur Andersen LLP accounting fraud or deficiencies2001$7,000,000
Arthur Zaske & Associates, LLC investor protection violation2022$15,000
Artis Capital Management investor protection violation2016$8,878,015
Ascend Capital, LLC investor protection violation2003$46,258
Ascenergy LLC investor protection violation2017$6,859,690
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
ASMAC Financial, Inc. investor protection violation2010$133,995
Asset Advisors, LLC investor protection violation2011$20,000
Asset Management Group of Bank of Hawaii investor protection violation2022$45,000
Asset Timing Corp. investor protection violation2000$5,000
AssetMark Inc. investor protection violation2023$18,000,000
AssetMark, Inc. investor protection violation2016$500,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010$3,500,000
Assured International, Inc. and Sharp Financial Corp. investor protection violation2000$1,407,217
Asta Funding, Inc. investor protection violation2021$50,000
AstraZeneca PLCAstraZenecapharmaceuticalskickbacks and bribery2016$5,522,000
AT&TAT&Ttelecommunicationsinvestor protection violation2022$6,250,000
Athena Capital Research investor protection violation2014$1,000,000
Augustine Capital Management LLC investor protection violation2017$878,305
Ault Alliance, Inc. investor protection violation2023$700,000
Auriga Global Investors, Sociedad de Valores, S.A. investor protection violation2015$618,401
AutoChina International Limited accounting fraud or deficiencies2014$4,350,000
Aventura Capital Management, LLC investor protection violation2022$938,756
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.