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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
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
Albemarle CorporationAlbemarlechemicalsForeign Corrupt Practices Act2023$103,600,000
Akamai TechnologiesAkamai Technologiesinformation technologyForeign Corrupt Practices Act2016$671,885
AGCO CorporationAGCO Corp.agribusinessForeign Corrupt Practices Act2009$18,300,000
Transamerica Financial AdvisorsAegonfinancial servicesinvestor protection violation2014$1,107,248
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010$200,000
AEGON USA Investment Management LLC et al.Aegonfinancial servicesinvestor protection violation2018$97,600,000
Transamerica Financial Advisors, Inc.Aegonfinancial servicesinvestor protection violation2019$6,023,072
Transamerica Asset Management, Inc.Aegonfinancial servicesinvestor protection violation2020$5,946,782
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006$50,000,000
Advanced Emissions Solutions, Inc.Advanced Emissions Solutionsmiscellaneous energy products and systemsinvestor protection violation2017$500,000
Advanced Drainage Systems, Inc.Advanced Drainage Systemsbuilding materialsinvestor protection violation2018$1,000,000
ABN AMRO Bank, N.V.ABN AMROfinancial servicesinvestor protection violation2013$5,547,408
ABN AMRO IncorporatedABN AMROfinancial servicesinvestor protection violation2001$200,000
ABN AMRO Clearing Chicago LLCABN AMROfinancial servicesinvestor protection violation2020$586,000
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017$15,000,000
Alere Inc.Abbott Laboratoriespharmaceuticalsaccounting fraud or deficiencies2017$13,023,885
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010$39,300,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004$5,900,000
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2022$75,000,000
3M Company3M Companymiscellaneous manufacturingForeign Corrupt Practices Act2023$6,500,000
Nordion Inc. Foreign Corrupt Practices Act2016$375,000
PBSJ Corporation Foreign Corrupt Practices Act2015$3,400,000
Layne Christensen Company Foreign Corrupt Practices Act2014$5,100,000
Comverse Technology Inc. Foreign Corrupt Practices Act2011$1,600,000
Veraz Networks Inc. Foreign Corrupt Practices Act2010$300,000
Luca International Group, LLC investor protection violation2016$68,300,000
JNL Oilfield Instruments, LLC accounting fraud or deficiencies2016$160,000
Phoenix Companies accounting fraud or deficiencies2016$600,000
StratoComm Corporation accounting fraud or deficiencies2016$5,068,709
Icon Capital accounting fraud or deficiencies2016$750,000
IEC Electronics Corp. accounting fraud or deficiencies2016$200,000
Ethiopian Electric Power investor protection violation2016$6,448,854
Albert Fried & Company anti-money-laundering deficiencies2016$300,000
First Mortgage Corporation investor protection violation2016$12,700,000
Burrill Capital Management accounting fraud or deficiencies2016$4,785,000
Uni-Pixel Inc. investor protection violation2016$750,000
Westlands Water District investor protection violation2016$125,000
Marrone Bio Innovations accounting fraud or deficiencies2016$1,750,000
E.S. Financial Services anti-money-laundering deficiencies2016$1,000,000
eAdGear Inc. accounting fraud or deficiencies2016$22,640,000
Miller Energy Resources accounting fraud or deficiencies2016$5,000,000
Marwood Group Research LLC investor protection violation2015$375,000
Sands Brothers Asset Management LLC investor protection violation2015$1,000,000
Fenway Partners LLC investor protection violation2015$8,716,471
Summit Trust Company accounting fraud or deficiencies2015$18,900,000
DBRS Inc. investor protection violation2015$5,814,482
Premiere Power LLC investor protection violation2015$2,587,523
Auriga Global Investors, Sociedad de Valores, S.A. investor protection violation2015$618,401
Harvest Capital Strategies LLC investor protection violation2015$84,454
Sabby Management LLC investor protection violation2015$278,747
War Chest Capital Partners LLC investor protection violation2015$351,818
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015$1,153,303
Briargate Trading LLP investor protection violation2015$912,842
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015$1,500,000
Spencer Pharmaceutical Inc. investor protection violation2015$1,000,000
Focus Media Holding Limited investor protection violation2015$55,600,000
Trinity Capital Corporation accounting fraud or deficiencies2015$1,500,000
Idle Media Inc. accounting fraud or deficiencies2015$50,000
Stein Mart Inc. accounting fraud or deficiencies2015$800,000
First Eagle Investment Management and FEF Distributors investor protection violation2015$39,748,260
8000 Inc. investor protection violation2015$6,500,000
MusclePharm Corporation accounting fraud or deficiencies2015$700,000
Summit Asset Strategies accounting fraud or deficiencies2015$1,143,933
Taberna Capital Management investor protection violation2015$21,500,000
EnviraTrends, Inc. investor protection violation2015$150,000
Colonial Tidewater Realty Income Partners investor protection violation2015$1,319,386
ITG Inc. investor protection violation2015$20,300,000
ABS Manager investor protection violation2015$1,087,648
Vero Capital Management LLC accounting fraud or deficiencies2015$3,068,706
AlphaBridge Capital Management accounting fraud or deficiencies2015$5,000,000
The Baker Group, LP investor protection violation2015$250,000
B.C. Ziegler and Company investor protection violation2015$250,000
Benchmark Securities, LLC investor protection violation2015$100,000
Bernardi Securities, Inc. investor protection violation2015$100,000
BOSC, Inc. investor protection violation2015$250,000
Central States Capital Markets, LLC investor protection violation2015$60,000
City Securities Corporation investor protection violation2015$250,000
Davenport & Company LLC investor protection violation2015$80,000
Dougherty & Co. LLC investor protection violation2015$250,000
First National Capital Markets, Inc. investor protection violation2015$100,000
George K. Baum & Company investor protection violation2015$250,000
L.J. Hart and Company investor protection violation2015$100,000
Loop Capital Markets, LLC investor protection violation2015$60,000
Martin Nelson & Co., Inc. investor protection violation2015$100,000
Merchant Capital, L.L.C. investor protection violation2015$100,000
Robert W. Baird & Co. Incorporated investor protection violation2015$500,000
Siebert Brandford Shank & Co., LLC investor protection violation2015$240,000
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Stephens Inc. investor protection violation2015$400,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
Wells Nelson & Associates, LLC investor protection violation2015$100,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Sand Hill Exchange investor protection violation2015$20,000
Wwebnet Inc. accounting fraud or deficiencies2015$15,459,127
China Valves Technology Inc. investor protection violation2015$575,000
BioChemics Inc. investor protection violation2015$17,897,887
H.D. Vest Investment Securities investor protection violation2015$225,000
GLR Advisers LLC accounting fraud or deficiencies2015$2,772,475
VCAP Securities investor protection violation2015$1,477,332
F-Squared Investments investor protection violation2014$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.