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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
Stericycle, Inc.Stericyclewaste management and environmental servicesForeign Corrupt Practices Act2022$28,200,000
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesaccounting fraud or deficiencies2019$40,000,000
Fiat Chrysler Automobiles N.V.Stellantismotor vehiclesinvestor protection violation2020$9,500,000
ModusLink Global Solutions Inc.Steel Connect Inc.freight and logisticsaccounting fraud or deficiencies2016$1,600,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016$382,400,000
State Street Bank and Trust CompanyState Street Corp.financial servicesillicit political contributions2016$12,000,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2017$35,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2019$88,780,000
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015$2,750,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007$10,000,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2015$1,011,093
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
SG Americas Securities LLC (Societe Generale)Societe Generalefinancial servicesinvestor protection violation2018$800,000
SG Americas Securities LLCSociete Generalefinancial servicesinvestor protection violation2020$1,550,000
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2023$35,000,000
Smith & Wesson Holding CorporationSmith & Wessonmiscellaneous manufacturingForeign Corrupt Practices Act2014$2,000,000
Smith & Nephew PLCSmith & Nephewmedical equipment and suppliesForeign Corrupt Practices Act2012$5,400,000
Osiris TherapeuticsSmith & Nephewmedical equipment and suppliesaccounting fraud or deficiencies2017$1,500,000
Skechers U.S.A. Inc.Skechers USA Inc.apparelinvestor protection violation2024$1,250,000
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Royal Dutch ShellShell PLCoil and gasForeign Corrupt Practices Act2010$18,149,459
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004$120,000,000
Galena Biopharma, Inc.SELLAS Life Sciences Grouppharmaceuticalsaccounting fraud or deficiencies2017$200,000
SeaWorld Entertainment Inc.SeaWorld Entertainmententertainmentinvestor protection violation2018$4,000,000
OZ Management LPSculptor Capital Managementfinancial servicesdata submission deficiencies2015$4,250,000
Och-Ziff Capital Management GroupSculptor Capital Managementfinancial servicesForeign Corrupt Practices Act2016$199,045,167
Scotia Capital (USA) Inc.Scotiabankfinancial servicesinvestor protection violation2023$7,500,000
SciClone PharmaceuticalsSciClone PharmaceuticalspharmaceuticalsForeign Corrupt Practices Act2016$12,000,000
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
NATCO Group Inc.Schlumbergeroilfield services and suppliesForeign Corrupt Practices Act2010$65,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2016$3,700,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2024$98,400,000
SanofiSanofipharmaceuticalsForeign Corrupt Practices Act2018$25,200,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016$1,400,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015$58,000,000
S&P Dow Jones Indices LLCS&P Globalinformation technologyinvestor protection violation2021$9,000,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022$2,500,000
Raytheon CompanyRTX Corporationaerospace and military contractingaccounting fraud or deficiencies2006$12,000,000
United Technologies CorporationRTX Corporationaerospace and military contractingForeign Corrupt Practices Act2018$13,900,000
RPM International Inc.RPM Internationalchemicalsaccounting fraud or deficiencies2020$2,022,500
Philips ElectronicsRoyal PhilipsdiversifiedForeign Corrupt Practices Act2013$4,515,178
Philips N.V.Royal PhilipsdiversifiedForeign Corrupt Practices Act2023$62,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
RBC Dain Rauscher IncRoyal Bank of Canadafinancial servicesinvestor protection violation2006$1,500,000
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000$12,941,191
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016$2,500,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2019$11,715,395
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2020$3,889,007
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2021$863,326
Royal Bank of CanadaRoyal Bank of Canadafinancial servicesaccounting fraud or deficiencies2023$6,000,000
Rollins Inc.Rollins Inc.miscellaneous servicesaccounting fraud or deficiencies2022$8,000,000
Rockwell Automation Inc.Rockwell Automationindustrial equipmentForeign Corrupt Practices Act2011$2,761,091
Robinhood Financial LLCRobinhood Marketsfinancial servicesinvestor protection violation2020$65,000,000
Roadrunner Transportation Systems, IncRoadrunner Transportation Systemsfreight and logisticsinvestor protection violation2023$9,635,911
Rio Tinto plcRio Tintomining and mineralsForeign Corrupt Practices Act2023$15,000,000
Rio Tinto PLCRio Tintomining and mineralsinvestor protection violation2023$28,000,000
Ribbon Communications Inc. (fka Sonus Networks)Ribbon Communicationstelecommunicationsinvestor protection violation2018$1,900,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$9,500,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2017$552,086
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$200,000
Securities America Advisors Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2018$5,828,448
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$500,001
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2019$1,171,028
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$502,400
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2020$603,776
KMS Financial Services Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
KMS Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$200,000
Securities America Advisors, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2021$1,750,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
SagePoint Financial, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2023$100,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015$15,000,000
Mead Johnson Nutrition CompanyReckitt Benckiserhousehold and personal care productsForeign Corrupt Practices Act2015$12,000,000
Vereit, Inc.Realty Incomereal estateinvestor protection violation2020$8,000,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011$200,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
Morgan Keegan & Company, Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$125,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$875,000
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$2,595,129
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016$600,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
Raymond James Financial Services Advisors, Inc.Raymond James Financialfinancial servicesinvestor protection violation2019$6,877,048
Raymond James & Associates, Inc. et al.Raymond James Financialfinancial servicesinvestor protection violation2019$15,000,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2022$500,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009$2,500,000
Ralph Lauren CorporationRalph Lauren Corp.apparelForeign Corrupt Practices Act2013$734,846
Quantum CorporationQuantum Corp.electrical and electronic equipmentinvestor protection violation2019$1,000,000
Qualcomm Inc.Qualcommmiscellaneous manufacturingForeign Corrupt Practices Act2016$7,500,000
Quad/Graphics Inc.Quad/Graphicsmiscellaneous servicesForeign Corrupt Practices Act2019$9,895,334
Alliance One International Inc.Pyxus InternationaltobaccoForeign Corrupt Practices Act2010$10,000,000
PTC Inc.PTC Inc.information technologyForeign Corrupt Practices Act2016$13,622,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.