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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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
Credit Suisse Group AGUBSfinancial servicesForeign Corrupt Practices Act2021$99,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$25,000,000
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$925,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2022$125,000,000
UBS Securities LLC and UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2022$125,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2023$10,000,000
UMB Bank N.A. Investment Banking DivisionUMB Financial Corp.financial servicesinvestor protection violation2015$420,000
Under Armour Inc.Under Armourapparelinvestor protection violation2021$9,000,000
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016$2,400,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$250,000
Universal Corporation Inc.Universal CorporationtobaccoForeign Corrupt Practices Act2010$4,500,000
Universal Electronics Inc.Universal Electronics Inc.electrical and electronic equipmentinvestor protection violation2014$75,000
Pride International Inc.Valarisoilfield services and suppliesForeign Corrupt Practices Act2010$23,529,718
Vale S.A.Vale S.A.mining and mineralsaccounting fraud or deficiencies2023$55,900,000
VimpelCom Ltd.VEONtelecommunicationsForeign Corrupt Practices Act2016$167,500,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003$500,000,000
Mylan N.V.Viatrispharmaceuticalsinvestor protection violation2019$30,000,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$66,500,000
KCG Americas LLCVirtu Financialfinancial servicesinvestor protection violation2015$1,055,197
Knight Capital Americas LLCVirtu Financialfinancial servicesinvestor protection violation2013$12,000,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002$75,000
Virtu Americas LLCVirtu Financialfinancial servicesinvestor protection violation2019$1,500,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002$3,000,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016$7,500,000
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017$3,095,953
Voya Holdings Inc.Voya Financialfinancial servicesinvestor protection violation2018$3,600,000
Voya Financial Advisors Inc.Voya Financialfinancial servicesinvestor protection violation2018$1,000,000
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2020$22,919,155
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008$30,000,000
Walgreens Boots Alliance Inc.Walgreens Boots Allianceretailinginvestor protection violation2018$34,500,000
WalmartWalmartretailingForeign Corrupt Practices Act2019$144,000,000
Watts Water Technologies Inc.Watts Water Technologies Inc.miscellaneous manufacturingForeign Corrupt Practices Act2011$2,955,815
Weatherford International LimitedWeatherford Internationaloilfield services and suppliesForeign Corrupt Practices Act2013$65,600,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016$140,000,000
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2014$67,200
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2018$1,304,197
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$250,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$8,100,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2019$1,852,540
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2021$1,207,000
Wedbush Securities Inc.Wedbush Securitiesfinancial servicesinvestor protection violation2023$10,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014$5,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012$6,500,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011$11,000,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2006$125,000
Wachovia Capital Markets, LLCWells Fargofinancial servicesinvestor protection violation2006$125,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004$37,000,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004$80,000,000
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004$4,844,465
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000$5,880,000
Wells Fargo Advisors, LLCWells Fargofinancial servicesanti-money-laundering deficiencies2017$3,500,000
Wells Fargo Bank N.A. Municipal Products GroupWells Fargofinancial servicesinvestor protection violation2016$440,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2018$5,108,441
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002$153,245
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2001$800,000
First Union Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2000$408,931
Wells Fargo SecuritiesWells Fargofinancial servicesinvestor protection violation2019$812,500
Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLCWells Fargofinancial servicesinvestor protection violation2019$17,363,847
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
Wells Fargo AdvisorsWells Fargofinancial servicesanti-money-laundering deficiencies2022$7,000,000
Wells Fargo Securities, LLC et al.Wells Fargofinancial servicesinvestor protection violation2023$125,000,000
Wells Fargo Clearing Services LLCWells Fargofinancial servicesinvestor protection violation2023$35,000,000
Westinghouse Air Brake Technologies CorporationWestinghouse Air Brake Technologies (Wabtec)industrial equipmentForeign Corrupt Practices Act2008$288,351
WEX Inc.WEX Inc.financial servicesinvestor protection violation2021$350,000
Amec Foster Wheeler LimitedWood Groupoilfield services and suppliesForeign Corrupt Practices Act2021$10,100,000
World Acceptance CorporationWorld Acceptance Corporationfinancial servicesForeign Corrupt Practices Act2020$21,700,000
WPP plcWPPbusiness servicesForeign Corrupt Practices Act2021$19,100,000
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002$10,000,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Evoqua Water Technologies Corp.Xylemmiscellaneous servicesaccounting fraud or deficiencies2023$8,500,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004$37,000,000
Biomet Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2012$1,586,032
Zimmer Biomet Holdings Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2017$13,022,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.