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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
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014$200,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Stifel Nicolaus & Co.Stifel Financialfinancial servicesinvestor protection violation2014$60,000
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2014$56,400
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
Wilmington TrustM&T Bankfinancial servicesaccounting fraud or deficiencies2014$18,500,000
LavaFlow Inc.Citigroupfinancial servicesinvestor protection violation2014$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014$4,500,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010$3,500,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesinvestor protection violation2006$10,000,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006$125,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006$750,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2006$1,500,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006$1,500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$125,000
Morgan Stanley & Co. Incorporated/ Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2006$1,500,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2006$125,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006$1,500,000
SunTrust Capital Markets Inc.Truist Financialfinancial servicesinvestor protection violation2006$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006$125,000
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.