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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
Aventura Capital Management, LLC investor protection violation2022$938,756
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016$4,000,000
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009$518,470
Aviva Investors Americas, LLC investor protection violation2016$250,000
Avon ProductsLGdiversifiedForeign Corrupt Practices Act2014$67,400,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012$100,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$1,134,152
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Axiom Capital Management, Inc. investor protection violation2010$60,000
Axius Holdings, LLC investor protection violation2014$60,881
Azarmehr Law Group investor protection violation2015$57,965
B.C. Ziegler and Company investor protection violation2015$250,000
Bachrach Asset Management Inc. investor protection violation2018$75,000
Back Bay Advisors, L.P. investor protection violation2002$150,000
Back to Green Mining, LLC investor protection violation2023$3,442,175
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Baker Tilly Hong Kong Limited accounting fraud or deficiencies2014$84,101
Ball CorporationBall Corp.paper and packagingForeign Corrupt Practices Act2011$300,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2005$375,000,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006$750,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004$10,000,000
Banc of America Securities LLCBank of Americafinancial servicesprice-fixing or anti-competitive practices2010$36,096,442
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004$50,000,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017$35,300,000
Banco Comercial Portugues, S.A. investor protection violation2013$1,892,058
Banco Espirito Santo S.A. investor protection violation2011$7,000,000
Bancwest Investment Services, Inc. investor protection violation2020$406,432
Bander Law Firm, PLLC investor protection violation2015$273,184
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010$150,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$7,650,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$20,000,000
Bank of Bermuda fraud2001$67,500,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018$54,000,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015$15,000,000
Banorte Asset Management Inc. investor protection violation2023$50,000
Bantry Bay Capital, LLC investor protection violation2017$100,000
Banyan Partners, LLC investor protection violation2016$200,000
Banyan Securities, LLC investor protection violation2022$10,000
Barcelona Strategies LLC investor protection violation2018$542,120
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$361,000,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017$97,037,659
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$15,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017$12,710,040
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022$125,000,000
Barclays PLCBarclaysfinancial servicesForeign Corrupt Practices Act2019$6,308,726
BarnBridge DAO investor protection violation2023$1,457,000
Baron Capital, Inc. investor protection violation2003$2,000,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018$1,500,000
Basic Capital Management, Inc. investor protection violation2002$850,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020$45,000,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022$18,000,000
Bayes Capital, LLC investor protection violation2018$300,000
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019$5,709,753
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015$200,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018$100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
BDL Manager LLC investor protection violation2014$3,297,740
BDO Canada accounting fraud or deficiencies2018$50,000
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015$2,100,000
Beacon Hill Asset Management, LLC investor protection violation2004$600,000
Beacon Investment Management LLC investor protection violation2019$165,848
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018$8,181,838
Bear Wagner Specialists LLC investor protection violation2004$16,259,446
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
Beespoke Capital, Inc. investor protection violation2023$5,196,518
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020$650,000
Bell Rock Capital, LLC investor protection violation2023$1,509,048
BellSouth CorporationAT&TtelecommunicationsForeign Corrupt Practices Act2002$150,000
Belmont Partners LLC accounting fraud or deficiencies2014$224,500
Benchmark Capital Advisors LLC investor protection violation2019$45,182
Benchmark Securities, LLC investor protection violation2015$100,000
Benecke Economics investor protection violation2023$60,000
Benjamin F. Edwards & Co., Inc. investor protection violation2019$3,445,264
Benjamin F. Edwards & Company, Inc. investor protection violation2020$1,366,551
Berkshire Capital Management Company, Inc. and Eat at Joe's, Ltd. (n/k/a SPYR, Inc.) investor protection violation2020$3,500,000
Berkshire Resources, L.L.C. investor protection violation2010$16,255,846
Berman & Co. P.A. accounting fraud or deficiencies2014$15,000
Berman & Company, P.A. investor protection violation2017$25,000
Bernardi Securities, Inc. investor protection violation2015$100,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
Betterment LLC investor protection violation2023$9,000,000
Beverly Hills Wealth Management, LLC investor protection violation2018$100,000
BFC Planning, Inc. investor protection violation2021$305,811
BGC Financial accounting fraud or deficiencies2018$1,250,000
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020$1,400,000
BHP BillitonBHP Groupmining and mineralsForeign Corrupt Practices Act2015$25,000,000
BHP Capital NY, Inc. investor protection violation2023$2,500,000
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002$242,840
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.