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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 Parent sort iconCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
Dreyfus CorporationBank of New York Mellonfinancial servicesinvestor protection violation2000$950,000
Bank of New York MellonBank of New York Mellonfinancial servicesinvestor protection violation2018$54,000,000
BNY Mellon Investment Adviser, Inc.Bank of New York Mellonfinancial servicesinvestor protection violation2022$1,500,000
BNY Mellon Capital Markets LLCBank of New York Mellonfinancial servicesinvestor protection violation2022$956,833
BMO Capital Markets CorporationBank of Montrealfinancial servicesinvestor protection violation2019$3,946,000
BMO Harris Financial Advisors Inc. and BMO Asset Management Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$37,980,000
BMO Capital Markets Corp.Bank of Montrealfinancial servicesinvestor protection violation2019$1,950,000
BMO Capital Markets CorpBank of Montrealfinancial servicesinvestor protection violation2023$25,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$7,650,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013$131,800,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010$150,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$415,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2006$750,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2006$1,500,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2005$375,000,000
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004$140,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004$10,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003$200,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003$80,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000$5,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$12,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2017$13,000,000
Merrill Lynch, Pierce, Fenner & Smith IncBank of Americafinancial servicesinvestor protection violation2018$1,404,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$20,000,000
Banc of America Securities LLCBank of Americafinancial servicesprice-fixing or anti-competitive practices2010$36,096,442
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$8,900,000
Merrill Lynch, Pierce, Fenner & SmithBank of Americafinancial servicesinvestor protection violation2018$42,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2018$15,700,000
Merrill Lynch, Pierce and Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2018$8,872,723
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2019$8,014,000
Merrill Lynch, Pierce and Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2020$325,376
BofA Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2022$125,000,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2023$9,660,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesanti-money-laundering deficiencies2023$6,000,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
Santander Securities LLCBanco Santanderfinancial servicesinvestor protection violation2019$270,539
Santander Consumer USA Holdings Inc.Banco Santanderfinancial servicesinvestor protection violation2018$1,500,000
Ball CorporationBall Corp.paper and packagingForeign Corrupt Practices Act2011$300,000
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Armor Holdings Inc.BAE Systemsaerospace and military contractingForeign Corrupt Practices Act2011$5,700,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009$518,470
Cadaret, Grant & Co. Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2018$513,194
Sorrento Pacific Financial, LLCAtria Wealth Solutionsfinancial servicesinvestor protection violation2019$49,162
CUSO Financial Services, L.P.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$296,750
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$1,405,349
Hampton Roads BanksharesAtlantic Union Banksharesfinancial servicesaccounting fraud or deficiencies2014$200,000
BellSouth CorporationAT&TtelecommunicationsForeign Corrupt Practices Act2002$150,000
AT&TAT&Ttelecommunicationsinvestor protection violation2022$6,250,000
AstraZeneca PLCAstraZenecapharmaceuticalskickbacks and bribery2016$5,522,000
Alexion Pharmaceuticals Inc.AstraZenecapharmaceuticalsForeign Corrupt Practices Act2020$21,000,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010$3,500,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinsider trading2006$3,755,839
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004$125,000
Ares Management LLCAres Managementprivate equity (including portfolio companies)investor protection violation2020$1,000,000
Archer-Daniels-Midland CompanyArcher Daniels MidlandagribusinessForeign Corrupt Practices Act2013$36,000,000
Apollo Global ManagementApollo Global Managementprivate equity (including portfolio companies)investor protection violation2016$52,700,000
America Online, Inc.Apollo Global Managementprivate equity (including portfolio companies)accounting fraud or deficiencies2000$3,500,000
ADT Inc.Apollo Global Managementprivate equity (including portfolio companies)investor protection violation2018$100,000
Aon CorporationAonfinancial servicesForeign Corrupt Practices Act2011$14,545,020
Aon Investments USA Inc.Aonfinancial servicesinvestor protection violation2024$1,542,187
Anheuser-Busch InBevAnheuser-Busch InBevbeveragesForeign Corrupt Practices Act2016$6,000,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008$3,000,000
Amyris, Inc.Amyrispharmaceuticalsinvestor protection violation2021$300,000
Aegerion PharmaceuticalsAmryt Pharmapharmaceuticalsinvestor protection violation2017$4,100,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2015$200,000
Ameritas Investment Corp.Ameritas Mutual Holding Companyfinancial servicesinvestor protection violation2019$3,389,174
Ameritas Advisory Services, LLCAmeritas Mutual Holding Companyfinancial servicesinvestor protection violation2022$4,628,194
Investment Professionals Inc.Ameriprise Financialfinancial servicesinvestor protection violation2014$67,800
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Columbia Management Advisors Inc. and Columbia Funds Distributor Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$140,000,000
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$3,706,693
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2017$8,750,000
Columbia Management Investment Services Corp.Ameriprise Financialfinancial servicesinvestor protection violation2017$250,000
Ameriprise Financial ServicesAmeriprise Financialfinancial servicesinvestor protection violation2018$230,000
Ameriprise Financial Services Inc.Ameriprise Financialfinancial servicesinvestor protection violation2018$4,500,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2006$800,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004$46,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003$10,000,000
VALIC Financial Advisors Inc.American International Groupfinancial servicesinvestor protection violation2020$39,900,000
Analogic Corp.Altaris Capital Partnersprivate equity (including portfolio companies)Foreign Corrupt Practices Act2016$11,470,000
Allianz SEAllianzfinancial servicesForeign Corrupt Practices Act2012$12,396,423
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$11,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$50,000,000
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
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.