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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
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2005$10,000,000
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2016$360,000
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
Hilltop Securities Inc. and Hilltop Securities Independent Network Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2019$810,785
Hilltop Securities Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2021$340,193
Hertz Global Holdings, Inc.Hertzmiscellaneous servicesinvestor protection violation2018$16,000,000
Herbalife Nutrition Ltd.Herbalifefood productsaccounting fraud or deficiencies2019$20,000,000
Herbalife Nutrition Ltd.Herbalifefood productsForeign Corrupt Practices Act2020$67,000,000
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
Healthcare Services Group, Inc.Healthcare Services Group Inc.business servicesaccounting fraud or deficiencies2021$6,000,000
Hartford Financial Services Group, Inc.Hartford Financial Servicesfinancial servicesinvestor protection violation2006$55,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004$7,500,000
Halliburton CompanyHalliburtonoilfield services and suppliesForeign Corrupt Practices Act2017$29,200,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015$20,000,000
Greenbrier Companies Inc.Greenbrier Companiesheavy equipmentinvestor protection violation2023$1,000,000
Great Lakes Dredge & Dock CorporationGreat Lakes Dredge & Dock Corporationmiscellaneous servicesaccounting fraud or deficiencies2014$150,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$4,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$365,085
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004$1,500,000
Granite Construction, IncorporatedGranite Constructionconstruction and engineeringaccounting fraud or deficiencies2022$12,000,000
Goodyear Tire & Rubber Co.Goodyear Tire & Rubberautomotive partsForeign Corrupt Practices Act2015$16,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2016$15,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$7,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesillicit political contributions2012$12,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012$22,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2006$1,500,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2005$40,000,000
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004$45,272,478
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003$9,305,382
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003$110,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000$5,200,000
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010$225,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
Goldman Sachs Group Inc.Goldman Sachsfinancial servicesForeign Corrupt Practices Act2020(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2022$125,000,000
Goldman Sachs Asset Management, L.P.Goldman Sachsfinancial servicesinvestor protection violation2022$4,000,000
Goldman Sachs & Co. LLCGoldman Sachsfinancial servicesinvestor protection violation2023$6,000,000
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
GlaxoSmithKline plcGlaxoSmithKlinepharmaceuticalskickbacks and bribery2016$20,000,000
Gentex CorporationGentexautomotive partsinvestor protection violation2023$4,000,000
Institutional Shareholder Services Inc.Genstar Capitalprivate equity (including portfolio companies)investor protection violation2013$300,000
General MotorsGeneral Motorsmotor vehiclesaccounting fraud or deficiencies2017$1,000,000
General ElectricGeneral ElectricdiversifiedForeign Corrupt Practices Act2010$23,400,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009$50,000,000
General Electric Co.General Electricdiversifiedaccounting fraud or deficiencies2020$200,000,000
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
Fulton Financial CorporationFulton Financialfinancial servicesinvestor protection violation2020$1,500,000
Fresenius Medical Care AG & Co KGaAFresenius Medical Carehealthcare servicesForeign Corrupt Practices Act2019$147,000,000
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
Western Asset Management CompanyFranklin Resourcesfinancial servicesinvestor protection violation2014$19,400,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$20,000,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$50,000,000
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004$55,000,000
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$2,315,467
Legg Mason Inc.Franklin Resourcesfinancial servicesForeign Corrupt Practices Act2018$34,500,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2018$1,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2005$1,000,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
Western Asset Management Co.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Fund Adviser, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Legg Mason Wood Walker, IncorporatedFranklin Resourcesfinancial servicesinvestor protection violation2001$50,000
Franklin Advisers and Inc.Franklin Resourcesfinancial servicesinvestor protection violation2020$250,000
Franklin Templeton Investments Corp.Franklin Resourcesfinancial servicesinvestor protection violation2020$75,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009$25,000
Ford Motor Credit CompanyFord Motormotor vehiclesinvestor protection violation2005$700,000
Flutter Entertainment plcFlutter Entertainment PLCentertainmentForeign Corrupt Practices Act2023$4,000,000
Fluor CorporationFluorconstruction and engineeringaccounting fraud or deficiencies2023$14,500,000
Flowserve CorporationFlowserveindustrial equipmentForeign Corrupt Practices Act2008$6,574,225
Flowserve CorporationFlowserveindustrial equipmentinvestor protection violation2005$350,000
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013$6,500,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2015$20,000
Fifth Third Securities, Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$709,971
Fifth Third Securities Inc.Fifth Third Bancorpfinancial servicesinvestor protection violation2023$8,000,000
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Federal National Mortgage Association (Fannie Mae)Fannie Maefinancial servicesaccounting fraud or deficiencies2006$400,000,000
Exelon CorporationExelonutilities and power generationfraud2023$46,200,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2014$4,070,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009$8,500,000
Ernst & YoungErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$9,300,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$11,800,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Ernst & Young Hua Ming LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2015$500,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2021$10,000,000
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2022$100,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.