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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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CompanyCurrent ParentCurrent Parent Industry sort iconPrimary Offense TypeYearPenalty Amount
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$6,000,000
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022$5,500,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022$8,000,000
Lattice Semiconductor CorporationLattice Semiconductorelectrical and electronic equipmentinvestor protection violation2023$185,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014$25,000,000
Hitachi Ltd.HitachidiversifiedForeign Corrupt Practices Act2015$19,000,000
Avon ProductsLGdiversifiedForeign Corrupt Practices Act2014$67,400,000
Philips ElectronicsRoyal PhilipsdiversifiedForeign Corrupt Practices Act2013$4,515,178
Tenaris S.A.TechintdiversifiedForeign Corrupt Practices Act2011$5,400,000
RAE Systems Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2010$1,250,000
General ElectricGeneral ElectricdiversifiedForeign Corrupt Practices Act2010$23,400,000
Nortek Inc.Madison IndustriesdiversifiedForeign Corrupt Practices Act2016$322,058
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016$4,000,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010$12,200,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009$50,000,000
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Jefferies & Co., Inc.Jefferies Financial Groupdiversifiedkickbacks and bribery2006$4,200,000
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005$345,701
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016$500,000
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor protection violation2018$75,000
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018$100,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
TenarisTechintdiversifiedForeign Corrupt Practices Act2022$78,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$143,215
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$50,000,000
Honeywell International Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2022$81,000,000
Philips N.V.Royal PhilipsdiversifiedForeign Corrupt Practices Act2023$62,000,000
SMBC Nikko Securities America, Inc.Sumitomo Groupdiversifiedinvestor protection violation2023$9,000,000
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
KBR, Inc.KBRconstruction and engineeringinvestor protection violation2015$130,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018$2,500,000
Primoris Services CorporationPrimoris Servicesconstruction and engineeringinvestor protection violation2018$200,000
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022$12,000,000
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023$14,500,000
Innospec Inc.InnospecchemicalsForeign Corrupt Practices Act2010$11,200,000
Swisher HygieneEcolabchemicalsaccounting fraud or deficiencies2016$2,000,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016$80,000,000
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
Monsanto CompanyBayerchemicalsForeign Corrupt Practices Act2005$500,000
Braskem S.A.BraskemchemicalsForeign Corrupt Practices Act2016$65,000,000
The Dow Chemical CompanyDow Inc.chemicalsinvestor protection violation2018$1,750,000
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019$250,000
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020$2,022,500
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022$1,300,000
Albemarle CorporationAlbemarlechemicalsForeign Corrupt Practices Act2023$103,600,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$4,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$365,085
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015$2,100,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015$15,000,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015$1,113,916
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014$4,070,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014$8,200,000
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012$247,043
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011$6,000,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011$2,742,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009$8,500,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009$2,500,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$375,000
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2005$50,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2005$22,000,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004$1,500,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004$2,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002$5,000,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$9,300,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$11,800,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016$230,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2017$6,230,999
YourPeople, Inc., dba Zenefits FTW Insurance ServicesTriNet Groupbusiness servicesinvestor protection violation2017$450,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2018$241,305
Deloitte & ToucheDeloittebusiness servicesaccounting fraud or deficiencies2018$99,057
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Deloitte Touche Tohmatsu LLCDeloittebusiness servicesaccounting fraud or deficiencies2019$2,000,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2019$50,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesinvestor protection violation2019$7,944,055
Deloitte Touche Tohmatsu Certified Public Accountants LimitedDeloittebusiness servicesaccounting fraud or deficiencies2015$500,000
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015$500,000
KPMG HuazhenKPMGbusiness servicesaccounting fraud or deficiencies2015$500,000
PricewaterhouseCoopers Zhong Tian CPAs Limited CompanyPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2015$500,000
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021$10,000,000
WPP plcWPPbusiness servicesForeign Corrupt Practices Act2021$19,100,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022$100,000,000
Deloitte Touche Tohmatsu Certified Public Accountants LLP (Deloitte-China)Deloittebusiness servicesaccounting fraud or deficiencies2022$20,000,000
Clear Channel Outdoor Holdings Inc.Clear Channel Outdoor Holdingsbusiness servicesForeign Corrupt Practices Act2023$26,100,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018$1,000,000
Diageo PLCDiageobeveragesForeign Corrupt Practices Act2011$16,373,820
Anheuser-Busch InBevAnheuser-Busch InBevbeveragesForeign Corrupt Practices Act2016$6,000,000
Beam Suntory Inc.Suntorybeveragesinvestor protection violation2018$8,181,838
Diageo plcDiageobeveragesinvestor protection violation2020$5,000,000
National Beverage Corp.National Beverage Corp.beveragesinvestor protection violation2021$481,920
Goodyear Tire & Rubber Co.Goodyear Tire & Rubberautomotive partsForeign Corrupt Practices Act2015$16,000,000
Tyco International Ltd.Johnson Controlsautomotive partsForeign Corrupt Practices Act2012$13,131,509
Johnson ControlsJohnson Controlsautomotive partsForeign Corrupt Practices Act2016$14,362,561
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.