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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
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$4,621,768
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004$4,844,465
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004$225,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003$80,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003$250,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$50,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$25,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003$10,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003$9,305,382
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003$500,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003$750,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003$5,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003$135,000,000
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003$200,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003$80,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002$1,650,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002$100,000,000
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000$12,941,191
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000$5,200,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000$5,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000$2,500,000
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000$26,200,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000$5,880,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$45,000,000
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000$6,680,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016$2,500,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016$600,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016$1,667,720
Park National CorporationPark National Corp.financial servicesaccounting fraud or deficiencies2016$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$12,500,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016$15,025,882
Och-Ziff Capital Management GroupSculptor Capital Managementfinancial servicesForeign Corrupt Practices Act2016$199,045,167
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016$90,000,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016$9,500,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesForeign Corrupt Practices Act2016$130,000,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2016$24,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016$18,500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$7,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$13,000,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017$6,600,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017$500,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$18,300,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$8,000,000
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017$97,037,659
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017$35,300,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017$35,300,000
SunTrust BanksTruist Financialfinancial servicesinvestor protection violation2017$1,100,000
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017$340,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,304,197
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$1,250,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017$13,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017$8,750,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017$3,500,000
UBS Financial Services, Inc.UBSfinancial servicesinvestor protection violation2017$3,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017$12,710,040
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017$1,500,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2017$5,754,714
Stifel, Nicolaus & Company, IncorporatedStifel Financialfinancial servicesinvestor protection violation2017$300,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017$3,095,953
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017$250,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016$200,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016$2,300,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016$440,000
Mitsubishi UFJ Securities (USA), Inc.Mitsubishi UFJ Financial Groupfinancial servicesinvestor protection violation2016$20,000
TD Securities (USA) LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2016$500,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016$360,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2016$500,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016$440,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$500,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015$1,011,093
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015$1,055,197
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$100,000
Comerica Securities, Inc.Comericafinancial servicesinvestor protection violation2015$60,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2015$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$200,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$20,000
U.S. Bank Municipal Securities GroupU.S. Bancorpfinancial servicesinvestor protection violation2015$60,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015$420,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2015$480,000
PNC Capital Markets LLCPNC Financial Servicesfinancial servicesinvestor protection violation2015$500,000
Macquarie Capital Investment Management LLC, et alMacquariefinancial servicesinvestor protection violation2015$120,000
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.