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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
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021$340,193
Hilton Worldwide Holdings Inc.Hilton Worldwidehotelsaccounting fraud or deficiencies2020$600,000
Hitachi Ltd.HitachidiversifiedForeign Corrupt Practices Act2015$19,000,000
HomeStreet IncHomeStreet Inc.financial servicesaccounting fraud or deficiencies2017$500,000
RAE Systems Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2010$1,250,000
Honeywell International Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2022$81,000,000
Hewlett-PackardHP Inc.electrical and electronic equipmentForeign Corrupt Practices Act2014$31,500,000
HP Inc.HP Inc.electrical and electronic equipmentaccounting fraud or deficiencies2020$6,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014$12,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2020$725,000
HSBC Securities (USA) Inc.HSBCfinancial servicesinvestor protection violation2023$15,000,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
Huntington Bancshares, Inc.Huntington Bancsharesfinancial servicesaccounting fraud or deficiencies2005$7,500,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$1,000,000
International Business Machines Corp.IBM Corp.information technologyForeign Corrupt Practices Act2011$10,000,000
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
International Business Machines CorporationIBM Corp.information technologyForeign Corrupt Practices Act2000$300,000
Iconix Brand Group Inc.Iconix Brand Groupapparelaccounting fraud or deficiencies2019$5,500,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015$4,200,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$1,250,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2018$860,000
Industrial and Commercial Bank of China Financial Services LLCIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2019$42,700,000
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
Innospec Inc.InnospecchemicalsForeign Corrupt Practices Act2010$11,200,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2014$56,000
Interactive Brokers LLCInteractive Brokers Groupfinancial servicesinvestor protection violation2020$11,500,000
Interactive Brokers Corp.Interactive Brokers Groupfinancial servicesinvestor protection violation2023$35,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014$4,500,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005$20,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018$14,000,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016$500,000
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
Banca IMI Securities Corp.Intesa Sanpaolofinancial servicesinvestor protection violation2017$35,300,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012$35,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004$50,000,000
Invesco Funds Group, Inc.Invescofinancial servicesinvestor protection violation2004$325,000,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016$2,300,000
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016$780,000
Janus Capital Management LLCJanus Hendersonfinancial servicesinvestor protection violation2004$100,000,000
Janus Henderson Investors US LLCJanus Hendersonfinancial servicesinvestor protection violation2022$150,000
JBS S.A.JBSfood productsForeign Corrupt Practices Act2020$27,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014$25,000,000
Jefferies & Co., Inc.Jefferies Financial Groupdiversifiedkickbacks and bribery2006$4,200,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2016$500,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2019$3,918,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$143,215
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2022$50,000,000
Johnson & JohnsonJohnson & JohnsonpharmaceuticalsForeign Corrupt Practices Act2011$48,600,000
Tyco International Ltd.Johnson Controlsautomotive partsForeign Corrupt Practices Act2012$13,131,509
Johnson ControlsJohnson Controlsautomotive partsForeign Corrupt Practices Act2016$14,362,561
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
Tyco International Ltd.Johnson Controlsautomotive partsaccounting fraud or deficiencies2006$50,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015$20,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004$75,000,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2015$100,000
Jones Lang LaSalle IncorporatedJones Lang LaSallereal estateinvestor protection violation2014$150,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016$4,000,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015$267,000,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012$296,900,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011$153,600,000
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015$1,084,210
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
J.P. Morgan SecuritiesJPMorgan Chasefinancial servicesinvestor protection violation2014$54,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
J.P. Morgan Securities, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$1,500,000
Bear, Stearns & Co., Inc.JPMorgan Chasefinancial servicesinvestor protection violation2006$250,000,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004$50,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$25,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003$135,000,000
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesForeign Corrupt Practices Act2016$130,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2018$135,100,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2019$1,005,194
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$1,822,438
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2020$35,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2021$125,000,000
First Republic Investment Management, Inc.JPMorgan Chasefinancial servicesinvestor protection violation2022$1,825,953
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2022$1,200,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2023$4,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2024$18,000,000
Juniper Networks, Inc.Juniper Networkselectrical and electronic equipmentForeign Corrupt Practices Act2019$11,745,018
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
KBR, Inc.KBRconstruction and engineeringinvestor protection violation2015$130,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018$2,500,000
Key Energy Services Inc.Key Energy Servicesoilfield services and suppliesForeign Corrupt Practices Act2016$5,000,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesaccounting fraud or deficiencies2016$175,000
Keybanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2016$440,000
KeyBanc Capital Markets Inc.KeyCorpfinancial servicesinvestor protection violation2023$397,135
El Paso CorporationKinder MorganpipelinesForeign Corrupt Practices Act2007$7,700,000
Kinross Gold CorporationKinross Goldmining and mineralsForeign Corrupt Practices Act2018$950,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015$30,000,000
Koppers Holdings Inc.Kopperschemicalsinvestor protection violation2022$1,300,000
KPMGKPMGbusiness servicesaccounting fraud or deficiencies2014$8,200,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.