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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
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018$513,194
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$500,000
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2018$100,000
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
U.S. Bank National AssociationU.S. Bancorpfinancial servicesinvestor protection violation2005$500,000
Prudential Equity Group, LLCPrudential Financialfinancial servicesinvestor protection violation2005$125,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2005$700,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003$45,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002$100,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002$500,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002$500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002$75,000
Josephthal & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2002$75,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002$153,245
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001$200,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$800,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$408,931
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$476,702
Fahnestock & Co., Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2000$20,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2000$100,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000$950,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$8,014,000
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019$812,500
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$250,000
BB&T SecuritiesTruist Financialfinancial servicesinvestor protection violation2019$5,709,753
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018$135,100,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018$54,000,000
MUFG Securities Americas Inc.U.S. Bancorpfinancial servicesinvestor protection violation2018$1,400,000
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019$17,363,847
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$11,715,395
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019$2,971,462
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019$1,005,194
Stifel and Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2019$6,037,175
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2019$241,227
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$296,750
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2019$1,134,152
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2019$376,059
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$1,405,349
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019$3,389,174
Principal Securities, Inc.Principal Financialfinancial servicesinvestor protection violation2019$1,764,624
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019$6,023,072
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2019$186,377
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019$270,539
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$3,528,377
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2019$9,333,516
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019$2,395,722
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$6,877,048
ProEquities, Inc.Dai-ichi Lifefinancial servicesinvestor protection violation2019$1,852,383
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018$1,500,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2018$5,000,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2019$500,000
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019$3,946,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$647,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2019$16,178,850
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019$42,700,000
Nomura Securities International Inc.Nomurafinancial servicesinvestor protection violation2019$26,400,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019$88,780,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$8,100,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$1,545,758
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.