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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
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$37,980,000
Barclays PLCBarclaysfinancial servicesForeign Corrupt Practices Act2019$6,308,726
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019$4,300,000
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019$15,000,000
Morgan Stanley Smith Barney, LLCMorgan Stanleyfinancial servicesinvestor protection violation2019$225,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019$2,700,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$1,950,000
Prudential Financial Inc.Prudential Financialfinancial servicesinvestor protection violation2019$32,600,000
Wells Fargo Clearing Services and Wells Fargo Advisors Financial NetworkWells Fargofinancial servicesinvestor protection violation2020$35,000,000
Wells Fargo & Co.Wells Fargofinancial servicesinvestor protection violation2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $500,000,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020$586,000
MetLife, Inc.MetLifefinancial servicesinvestor protection violation2019$10,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$1,822,438
U.S. Bancorp Investments, Inc.U.S. Bancorpfinancial servicesinvestor protection violation2020$15,992,441
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020$3,889,007
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2020$325,376
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020$3,200,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020$725,000
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020$167,629
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2020$11,500,000
World Acceptance CorporationWorld Acceptance Corporationfinancial servicesForeign Corrupt Practices Act2020$21,700,000
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020$39,900,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2020$10,000,000
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020$250,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020$75,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2020$250,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
Goldman Sachs Group Inc.Goldman Sachsfinancial servicesForeign Corrupt Practices Act2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2020$5,000,000
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020$5,946,782
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020$1,400,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$35,000,000
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020$1,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2020$600,000
Deutsche Bank AGDeutsche Bankfinancial servicesForeign Corrupt Practices Act2021$43,000,000
Pruco Securities, LLCPrudential Financialfinancial servicesinvestor protection violation2020$18,252,341
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020$22,919,155
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020$65,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
MML Investors Services, LLCMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2021$2,109,458
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2021$8,112,174
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesaccounting fraud or deficiencies2021$97,000,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021$340,193
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021$1,207,000
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021$350,000
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
LPL Financial LLCLPL Financialfinancial servicesinvestor protection violation2021$891,202
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021$125,000,000
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022$4,628,194
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022$187,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022$1,500,000
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022$7,000,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022$1,825,953
Allianz Global Investors U.S. LLCAllianzfinancial servicesinvestor protection violation2022(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,024,200,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$25,000,000
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022$956,833
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2022$152,955
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022$150,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022$1,200,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
Equitable Financial Life Insurance CompanyEquitable Holdingsfinancial servicesinvestor protection violation2022$50,000,000
Waddell & Reed, LLCMacquariefinancial servicesinvestor protection violation2022$200,000
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$35,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022$500,000
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$361,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022$125,000,000
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022$125,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2022$125,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022$125,000,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022$50,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022$10,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022$4,000,000
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
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2022$198,323
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023$9,660,000
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023$18,800,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023$15,000,000
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023$7,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$709,971
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023$1,400,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023$4,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023$125,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023$35,000,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023$35,000,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023$25,000,000
Mizuho Securities USA LLCMizuho Financialfinancial servicesinvestor protection violation2023$25,000,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$10,000,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023$2,900,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023$35,000,000
Wilmington Trust Investment Management, LLCM&T Bankfinancial servicesinvestor protection violation2023$1,327,147
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023$35,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.