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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
Datatex Investment Services, Inc. investor protection violation2023$50,000
Davenport & Company LLC investor protection violation2015$80,000
David Lerner Associates, Inc. investor protection violation2004$50,000
Dawson-Samberg Capital Management, Inc. investor protection violation2000$100,000
DB Investment Managers, Inc. investor protection violation2005$33,159
DBRS Inc. investor protection violation2015$5,814,482
DBRS Inc. investor protection violation2023$6,000,000
DBRS, INC. investor protection violation2021$1,000,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002$500,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$476,702
Deccan Value Investors LP investor protection violation2022$1,139,501
Dedicated Sound and Audio, Inc. investor protection violation2018$250,000
Deephaven Capital Management, LLC insider trading2006$5,709,958
Deer Park Road Management Company LP investor protection violation2019$5,000,000
Deerfield Capital Corp. accounting fraud or deficiencies2011$1,277,070
Deerfield Management Company investor protection violation2013$1,902,224
Deerfield Management Company L.P. investor protection violation2017$4,600,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004$400,000
Del Mar Asset Management, LP investor protection violation2014$66,000
Delaney Equity Group LLC investor protection violation2016$20,000
Delaware Asset Advisers investor protection violation2012$4,814,520
Delaware Service Company, Inc. investor protection violation2006$435,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010$100,000,000
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015$1,113,916
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$50,000,000
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012$247,043
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015$500,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022$20,000,000
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019$2,000,000
Delphia (USA) Inc. investor protection violation2024$225,000
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
Delta Equity Services Corporation investor protection violation2002$45,000
Dentsply Sirona Inc.Dentsply Sironamedical equipment and suppliesinvestor protection violation2020$1,000,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007$250,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003$750,000
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016$18,500,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2019$16,178,850
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016$9,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$87,500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$4,450,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019$2,971,462
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022$125,000,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Deutsche Bank Trust Co. Americas and Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2018$73,200,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019$500,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
deVere USA, Inc. investor protection violation2018$8,000,000
DFRF Enterprises LLC and DFRF Enterprises, LLC investor protection violation2019$19,390,352
Diageo PLCDiageobeveragesForeign Corrupt Practices Act2011$16,373,820
Diageo plcDiageobeveragesinvestor protection violation2020$5,000,000
Diagnostic Products Corporation Foreign Corrupt Practices Act2005$2,788,622
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014$5,000,000
Diamondback Capital Management LLC investor protection violation2012$9,000,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
Diastole Wealth Management, Inc. investor protection violation2021$100,000
Diebold Inc.Diebold Nixdorfmiscellaneous manufacturingForeign Corrupt Practices Act2013$22,900,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010$25,000,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004$100,000
Digital Turbine Inc. accounting fraud or deficiencies2019$100,000
Digital World Acquisition Corp. investor protection violation2023$18,000,000
Dion Money Management, LLC investor protection violation2015$50,000
Disciplined Capital Management LLC investor protection violation2021$25,000
Disruptive Technology Advisers LLC investor protection violation2023$225,000
Ditto Holdings, Inc. investor protection violation2015$50,000
DKM Certified Public Accountants, Inc. investor protection violation2015$60,043
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
DLL CPAS, LLC investor protection violation2019$51,387
DNA Brands Inc. investor protection violation2023$10,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004$115,126
Dollar General CorporationDollar Generalretailingaccounting fraud or deficiencies2005$10,000,000
Dominick & Dominick LLC investor protection violation2014$75,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
Doral Financial Corporation accounting fraud or deficiencies2006$25,000,000
Dougherty & Co. LLC investor protection violation2015$250,000
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
Drake Asset Management LLC investor protection violation2011$175,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000$950,000
DST Asset Manager Solutions, Inc. investor protection violation2023$500,000
Duff & Phelps Investment Management Co., Inc investor protection violation2001$854,161
Duncan-Williams, Inc investor protection violation2015$250,000
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Dupree Financial Group, LLC investor protection violation2016$25,000
DWS Investment Management Americas Inc.Deutsche Bankfinancial servicesinvestor protection violation2023$25,000,000
DXC Technology CompanyDXC Technologyinformation technologyaccounting fraud or deficiencies2023$8,000,000
Dynamic Intelligence, Inc. investor protection violation2018$228,552
Dynamic Trading Management LLC investor protection violation2021$10,000
DynamicDaytrader.com investor protection violation2000$55,107
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002$3,000,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
E. Magnus Oppenheim & Co. Inc investor protection violation2023$50,000
E.S. Financial Services anti-money-laundering deficiencies2016$1,000,000
eAdGear Inc. accounting fraud or deficiencies2016$22,640,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.