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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
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002$242,840
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor protection violation2018$75,000
Bill Few Associates Inc. investor protection violation2019$2,398,304
Bill Parker Agency investor protection violation2021$10,000
Biltmore International Corporation investor protection violation2020$125,000
Biltmore Wealth Management, LLC investor protection violation2018$183,043
Bio Defense Corp. investor protection violation2019$37,475,717
Bio-Heal Laboratories, Inc. investor protection violation2006$618,135
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014$40,700,000
BioChemics Inc. investor protection violation2015$17,897,887
BioElectronics, Corp. investor protection violation2018$191,640
Biomet Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2012$1,586,032
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008$10,000,000
Birinyi Associates, Inc. investor protection violation2020$100,000
Birkelbach & Co. investor protection violation2021$10,000
Biscayne Capital International, LLC investor protection violation2016$158,087
BiscayneAmericas Advisers L.L.C. investor protection violation2022$135,000
BISYS Fund Services, Inc. investor protection violation2006$21,400,000
BitClave PTE Ltd investor protection violation2020$29,744,197
Bitqyck Inc. investor protection violation2019$8,375,617
Bittrex Inc. investor protection violation2023$24,000,000
Bittrex Inc. et al. investor protection violation2023$24,000,000
BKD LLP accounting fraud or deficiencies2014$15,000
BKS Advisors LLC investor protection violation2018$75,000
Black Spade Acquisition Co investor protection violation2023$35,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023$3,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015$12,000,000
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023$2,500,000
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017$1,500,000
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017$340,000
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015$39,000,000
Blackstreet Capital Management, LLC investor protection violation2016$2,622,737
Blackthorn Investment Group investor protection violation2013$520,207
Block.one investor protection violation2019$24,000,000
Blockchain Credit Partners investor protection violation2021$12,849,354
Blockchain of Things Inc. investor protection violation2019$250,000
BlockFi Lending LLC investor protection violation2022$50,000,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023$5,000,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020$5,000,000
Blotics Ltd investor protection violation2021$201,687
Blue Bottle Limited investor protection violation2007$10,846,785
Blue River Capital LLC investor protection violation2005$150,000
BlueCrest Capital Management Limited investor protection violation2020$170,000,000
Bluefin Trading, LLC investor protection violation2019$303,638
Bluefire Renewables, Inc. investor protection violation2016$25,000
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016$265,000
Bluestone Capital Management LLC investor protection violation2023$75,000
Blyth & Associates, Inc. investor protection violation2019$103,071
BMA Securities, LLC investor protection violation2020$333,537
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023$25,000,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$1,950,000
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019$3,946,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015$250,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$37,980,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020$18,000,000
BNB Capital, Inc. investor protection violation2002$5,000
BNB Wealth Management, LLC investor protection violation2020$74,417
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2020$250,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023$35,000,000
BNY MellonBank of New York Mellonfinancial servicesForeign Corrupt Practices Act2015$14,800,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017$6,600,000
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022$956,833
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015$120,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022$1,500,000
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022$200,000,000
Boenning & Scattergood, Inc. investor protection violation2016$250,000
Boenning & Scattergood, Inc. investor protection violation2020$205,567
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022$125,000,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016$1,667,720
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
Bolton Securities Corporation investor protection violation2021$224,994
Bonwick Capital Partners, LLC investor protection violation2017$50,000
Boon Tech investor protection violation2020$5,600,334
BorgWarner Inc.BorgWarnerautomotive partsaccounting fraud or deficiencies2020$950,000
Boros & Farrington Accountancy Corporation accounting fraud or deficiencies2014$30,000
BOSC, Inc. investor protection violation2015$250,000
Botta Capital Management, L.L.C. investor protection violation2009$825,000
Boyle CP LLC accounting fraud or deficiencies2023$50,000
BPBPoil and gasinvestor protection violation2012$525,000,000
BPU Investment Management, Inc. investor protection violation2020$927,107
Bradesco Global Advisors Inc. investor protection violation2024$20,000
Bradway Financial, LLC and Bradway Capital Management, LLC investor protection violation2017$150,000
Brahma Management Ltd. investor protection violation2018$75,000
Brahman Capital Corp. investor protection violation2017$250,000
Braskem S.A.BraskemchemicalsForeign Corrupt Practices Act2016$65,000,000
Braverock Investments LLC investor protection violation2023$132,000
Brean Murray & Co., Inc. investor protection violation2005$150,000
Briargate Trading LLP investor protection violation2015$912,842
Bridgeway Capital Management investor protection violation2004$5,116,464
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022$400,000
Bristol Group Inc. investor protection violation2018$75,000
Bristol-Myers SquibbBristol-Myers SquibbpharmaceuticalsForeign Corrupt Practices Act2015$14,000,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004$150,000,000
BrixInvest, LLC investor protection violation2019$300,000
Brixmor Property Group Inc. accounting fraud or deficiencies2019$7,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008$12,000,000
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015$1,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007$7,000,000
BroCo Investments, Inc. accounting fraud or deficiencies2010$627,633
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.