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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
Comprehensive Capital Management, Inc. investor protection violation2013$120,000
Comprehensive Capital Management, Inc. investor protection violation2022$375,654
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015$190,000,000
Computershare Trust Company of Canada investor protection violation2006$1,101,868
Comscore, Inc.ComScoreinformation servicesaccounting fraud or deficiencies2019$5,000,000
Comverse Technology Inc. Foreign Corrupt Practices Act2011$1,600,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
Concert Global Group Limited and Concert Wealth Management, Inc. investor protection violation2016$120,000
Concorde America, Inc. investor protection violation2009$841,175
Congress Wealth Management LLC investor protection violation2016$100,000
Conn's Inc. accounting fraud or deficiencies2019$1,100,000
Connecticut Capital Markets, L.L.C. investor protection violation2004$259,110
Connexus Corporation investor protection violation2016$50,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004$15,000,000
Constant Contact, Inc. and Endurance International Group Holdings, Inc. investor protection violation2018$8,000,000
Constellation Wealth Advisors LLC investor protection violation2016$100,000
Consulting Services Group, LLC investor protection violation2015$150,000
Consulting Services Group, LLC investor protection violation2007$20,000
Consultiva Internacional, Inc. investor protection violation2012$35,000
Contrarian Capital Management, L.L.C. investor protection violation2024$521,326
ConTXT, Inc investor protection violation2021$571,153
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018$2,750,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008$250,000
Cool Technologies Inc. investor protection violation2018$75,000
Coordinated Capital Securities, Inc. investor protection violation2020$581,961
COR Clearing LLC data submission deficiencies2018$800,000
Coral Reef Media, LLC investor protection violation2015$52,395
Corinthian Capital Group, LLC investor protection violation2019$100,000
Cormark Securities Inc. investor protection violation2020$800,000
Cornerstone Capital Management, Inc.? investor protection violation2009$335,758
Corona Associates Capital Management, LLC investor protection violation2022$50,000
CoroWare Inc. investor protection violation2014$25,000
Corvex Management LP investor protection violation2023$1,000,000
Cotterman-Wilson CPAs, Inc investor protection violation2015$36,897
Country Club Bank investor protection violation2015$140,000
Covenant Financial Services, LLC investor protection violation2017$144,845
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. investor protection violation2020$1,000,000
Cowen Prime Advisors LLC investor protection violation2021$768,879
Cozad Asset Management, Inc. investor protection violation2020$416,870
CR Intrinsic Investors investor protection violation2013$601,747,463
Craig Scott Capital, LLC investor protection violation2016$100,000
Cranshire Capital Advisors, LLC investor protection violation2015$250,000
Creative Financial Designs, Inc. investor protection violation2020$890,240
Creative Planning, Inc. investor protection violation2018$200,000
Credentia Group investor protection violation2013$69,204
Credicorp Capital Advisors LLC investor protection violation2024$30,000
Credit Karma, Inc. investor protection violation2018$160,000
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016$90,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011$2,500,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002$100,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003$200,000,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014$196,000,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2018$29,700,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012$120,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016$54,300,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesdata submission deficiencies2015$4,250,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017$5,754,714
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2018$5,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020$600,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023$10,000,000
Crestview Capital Partners investor protection violation2007$394,640
Crews & Associates Inc. investor protection violation2021$244,072
Crews & Associates, Inc. investor protection violation2015$250,000
Critical Trading, LLC investor protection violation2019$219,092
Crowd Machine, Inc. and Metavine, Inc. investor protection violation2024$24,234,548
Crowe LLP accounting fraud or deficiencies2018$1,500,000
Crowe U.K. LLP accounting fraud or deficiencies2023$750,000
Crown Bridge Partners, LLC investor protection violation2022$9,200,908
Crown Capital Securities, L.P. investor protection violation2021$1,587,912
Crypto Asset Management LP investor protection violation2018$200,000
Crypto Asset Management, LP investor protection violation2018$200,000
CSIR Group, LLC investor protection violation2018$17,142
Cumberland Pharmaceuticals Inc. investor protection violation2023$200,000
Cushing Asset Management, LP investor protection violation2018$100,000
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$296,750
Cutting Edge Business Services, Inc. investor protection violation2019$273,336
CVS Caremark Corp.CVS Healthretailingaccounting fraud or deficiencies2014$20,000,000
CW Petroleum Corp. investor protection violation2023$5,000
Cygs, LLC investor protection violation2017$60,879
Cypress Advisors investor protection violation2017$35,000
CytoDyn Inc. accounting fraud or deficiencies2019$35,000
Cytrx CorporationCytRxpharmaceuticalsinvestor protection violation2017$75,000
D. E. Shaw & Co., L.P. investor protection violation2023$10,000,000
D.A. Davidson & Co. investor protection violation2016$500,000
D.A. Davidson & Co. investor protection violation2019$654,276
D.E. Frey and Company, Inc. investor protection violation2000$100,000
D.E. Shaw & Co. investor protection violation2013$667,492
D.M. Keck & Company, Inc. investor protection violation2007$15,000
Daimler AGMercedes-Benz Groupmotor vehiclesForeign Corrupt Practices Act2010$91,400,000
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000$12,941,191
Dale Scott & Company, Inc. investor protection violation2019$25,000
Daniels Corporate Advisory Company, Inc. investor protection violation2021$25,000
Danske Bank A/SDanske Bankfinancial servicesanti-money-laundering deficiencies2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $413,000,000
Dasan Zhone Solutions Inc. investor protection violation2018$50,000
Datatex Investment Services, Inc. investor protection violation2023$50,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.