Basic Search  |  Summaries  |  Advanced Search

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.

Download results as CSV or XML or Save your search (Click here for information on download subscriptions)
Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Chatfield PCS Ltd. and GO ECO Manufacturing, Inc. investor protection violation2022$3,625,263
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023$18,800,000
Chembio Diagnostics, Inc. investor protection violation2023$500,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000$20,590,000
Cherokee Investment Partners LLC investor protection violation2018$75,000
Cherokee Investment Partners, LLC and Cherokee Advisers, LLC investor protection violation2015$100,000
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007$30,000,000
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
Chicago Crypto Capital LLC investor protection violation2023$1,071,686
Child, Van Wagoner & Bradshaw, PLLC investor protection violation2015$130,506
China Natural Gas Inc. accounting fraud or deficiencies2013$815,000
China Shenghai Investment Management Limited investor protection violation2014$4,300,000
China Valves Technology Inc. investor protection violation2015$575,000
ChinaMedia Express Holdings investor protection violation2013$41,144,082
Chiquita Brands International, Inc.Chiquita Brands Internationalfood productsForeign Corrupt Practices Act2001$100,000
Choice Equity investor protection violation2018$2,430,850
Chronos Asset Management, Inc. investor protection violation2008$2,176,915
Church of Jesus Christ of Latter-day Saints investor protection violation2023$1,000,000
Church, Gregory, Adams Securities Corporation investor protection violation2022$10,000
CIBC Mellon Trust Company fraud2005$6,030,043
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
Citadel Securities LLC investor protection violation2017$22,600,000
Citadel Securities LLC investor protection violation2018$3,500,000
Citadel Securities LLC investor protection violation2023$7,000,000
Citibank N.A.Citigroupfinancial servicesinvestor protection violation2018$38,700,000
CITIC Securities International Investment Management (HK) Limited investor protection violation2014$6,600,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
CitigroupCitigroupfinancial servicesaccounting fraud or deficiencies2018$10,500,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global MarketsCitigroupfinancial servicesdata submission deficiencies2016$7,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$18,300,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2018$12,937,475
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023$2,900,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015$180,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2005$20,000,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023$1,975,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
Citigroup, Inc.Citigroupfinancial servicesinvestor protection violation2005$208,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$19,000,000
City National Rochdale, LLC investor protection violation2022$30,361,803
City Securities Corporation investor protection violation2015$250,000
City Securities Corporation investor protection violation2013$580,000
CKB168 Holdings Ltd. Et al. investor protection violation2022$182,624,545
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Clark Schaefer Hackett & Co. investor protection violation2024$80,881
Classic Asset Management LLC investor protection violation2023$195,228
Clay Capital Management LLC investor protection violation2012$850,000
Clean Energy Capital, LLC investor protection violation2014$2,246,030
Clear Channel Outdoor Holdings Inc.Clear Channel Outdoor Holdingsbusiness servicesForeign Corrupt Practices Act2023$26,100,000
Clear Scope Advisors, Inc. investor protection violation2019$25,678
ClearPath Wealth Management, LLC investor protection violation2024$27,130,905
Client One Securities, LLC investor protection violation2019$35,275
Cloudastructure, Inc. investor protection violation2023$558,071
Clovis Oncology Inc.Clovis Oncologypharmaceuticalsinvestor protection violation2018$20,000,000
CMB Export LLC investor protection violation2018$5,150,000
CMG Capital Management Group, Inc. investor protection violation2022$70,000
CMS Fund Advisers, Inc. investor protection violation2005$115,000
Co-Diagnostics, Inc. investor protection violation2023$250,000
Coachman Energy Partners LLC investor protection violation2017$941,507
Coastal Equities, Inc. and Coastal Investment Advisors, Inc. investor protection violation2017$80,000
Coastal Investment Advisors, Inc. investor protection violation2019$76,144
Coburn & Meredith, Inc investor protection violation2021$299,340
Coda Markets, Inc. investor protection violation2021$1,200,000
Cognizant Technology Solutions CorporationCognizant Technology Solutionsinformation technologyForeign Corrupt Practices Act2019$6,000,000
Cohen Klingenstein LLC investor protection violation2021$97,523
CohnReznick LLP accounting fraud or deficiencies2022$1,900,000
CoinAlpha Advisors LLC investor protection violation2018$50,000
Coinme Inc. investor protection violation2023$250,000
Collaborative Financial Consulting LLC investor protection violation2023$20,000
Colley Asset Management, Inc. investor protection violation2005$100,000
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009$1,400,000
Colonial Tidewater Realty Income Partners investor protection violation2015$1,319,386
Colorado Financial Service Corporation investor protection violation2014$25,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$140,000,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017$250,000
Columbia River Advisors, LLC investor protection violation2017$80,000
Comer Capital Group, LLC investor protection violation2024$55,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015$60,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019$186,377
Commerce Bank Capital Markets Group investor protection violation2015$40,000
Commercial Express, LLC and Progressive Financial, Inc. investor protection violation2002$23,032,869
Commonwealth Capital Management, LLC, et al. investor protection violation2015$50,000
Commonwealth Communications Group investor protection violation2001$716,516
Commonwealth Communications Group and Marjet Corp. fraud2000$1,407,284
Commonwealth Equity Services, LLC investor protection violation2019$1,637,303
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network investor protection violation2024$93,274,068
Commonwealth Equity Services, LLP investor protection violation2007$250,000
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009$100,000
Commonwealth Income & Growth Fund, Inc. investor protection violation2013$367,656
Commonwealth Venture Management Corporation investor protection violation2017$75,000
Compass Capital Group, Inc. investor protection violation2009$800,000
Compass Minerals International Inc.Compass Minerals Internationalmining and mineralsinvestor protection violation2022$12,000,000
Comprehensive Capital Management Inc. investor protection violation2019$93,631
Comprehensive Capital Management, Inc. investor protection violation2013$120,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.