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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
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2023$1,975,000
Scientific-Atlanta, Inc.Cisco Systemselectrical and electronic equipmentaccounting fraud or deficiencies2006$20,000,000
Chiquita Brands International, Inc.Chiquita Brands Internationalfood productsForeign Corrupt Practices Act2001$100,000
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007$30,000,000
The Cheesecake Factory IncorporatedCheesecake Factoryrestaurants and foodserviceaccounting fraud or deficiencies2020$125,000
Chatham Asset Management LLCChatham Asset Managementfinancial servicesinvestor protection violation2023$18,800,000
Charter Communications Inc.Charter Communicationstelecommunicationsaccounting fraud or deficiencies2023$25,000,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$118,000,000
Charles Schwab & Co.Charles Schwab Corp.financial servicesinvestor protection violation2014$61,800
TD AmeritradeCharles Schwab Corp.financial servicesinvestor protection violation2014$100,800
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$350,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$2,800,000
TD Ameritrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$500,000
Charles Schwab & Co., Inc. et al.Charles Schwab Corp.financial servicesinvestor protection violation2022$187,000,000
Health Net Inc.Centenehealthcare servicesinvestor protection violation2016$340,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009$10,000,000
CBRE, Inc.CBRE Groupreal estateinvestor protection violation2023$375,000
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
Akzo Nobel N.V.Carlyle Groupprivate equity (including portfolio companies)Foreign Corrupt Practices Act2007$2,981,513
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007$35,000,000
Cardinal Health, Inc.Cardinal HealthwholesalersForeign Corrupt Practices Act2020$8,000,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013$3,500,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2018$1,250,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2019$647,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2020$3,200,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2022$10,000,000
Cantor Fitzgerald & Co.Cantor Fitzgeraldfinancial servicesinvestor protection violation2023$1,400,000
Canoo Inc.Canoo Inc.motor vehiclesinvestor protection violation2023$1,500,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003$80,000,000
CIBC World Markets CorporationCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$496,598
Diamond FoodsCampbell Soupfood productsaccounting fraud or deficiencies2014$5,000,000
Calumet Specialty Products Partners, L.P.Calumet Specialty Productschemicalsinvestor protection violation2019$250,000
Bruker CorporationBrukermiscellaneous manufacturingForeign Corrupt Practices Act2014$2,400,000
Brown Brothers Harriman & Co.Brown Brothers Harrimanfinancial servicesinvestor protection violation2014$120,000
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005$345,701
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018$100,000
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015$1,000,000
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008$12,000,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007$7,000,000
Computer Associates International, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2004(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000
VMware, Inc.Broadcomelectrical and electronic equipmentinvestor protection violation2022$8,000,000
Bristol-Myers SquibbBristol-Myers SquibbpharmaceuticalsForeign Corrupt Practices Act2015$14,000,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004$150,000,000
Brink's CompanyBrink'smiscellaneous servicesinvestor protection violation2022$400,000
Braskem S.A.BraskemchemicalsForeign Corrupt Practices Act2016$65,000,000
BPBPoil and gasinvestor protection violation2012$525,000,000
BorgWarner Inc.BorgWarnerautomotive partsaccounting fraud or deficiencies2020$950,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016$1,667,720
Bok Financial Securities, Inc.BOK Financialfinancial servicesinvestor protection violation2019$197,801
Boeing CompanyBoeingaerospace and military contractinginvestor protection violation2022$200,000,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2020$250,000
BNP Paribas Securities Corp.BNP Paribasfinancial servicesinvestor protection violation2023$35,000,000
BMW AGBMWmotor vehiclesaccounting fraud or deficiencies2020$18,000,000
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016$265,000
Magnum Hunter Resources CorporationBlue Ridge Mountain Resourcesoil and gasaccounting fraud or deficiencies2016$250,000
Bloomberg Tradebook LLCBloomberginformation technologyinvestor protection violation2020$5,000,000
Bloomberg Finance L.P.Bloomberginformation technologyinvestor protection violation2023$5,000,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015$39,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015$12,000,000
BlackRock Institutional Trust CompanyBlackRockfinancial servicesinvestor protection violation2014$1,675,350
BlackRock Inc.BlackRockfinancial servicesinvestor protection violation2017$340,000
Blackrock Fund AdvisorsBlackRockfinancial servicesinvestor protection violation2017$1,500,000
State Street Research & Management CompanyBlackRockfinancial servicesinvestor protection violation2005$585,743
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023$2,500,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023$3,000,000
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014$40,700,000
Biglari Capital LLCBiglari Holdingsdiversifiedinvestor protection violation2018$75,000
BHP BillitonBHP Groupmining and mineralsForeign Corrupt Practices Act2015$25,000,000
GFI Securities LLCBGC Partnersfinancial servicesinvestor protection violation2019$4,300,000
BGC Partners, Inc.BGC Partnersfinancial servicesinvestor protection violation2020$1,400,000
Berthel Fisher & Company Financial Services, Inc.Berthel Fisherfinancial servicesinvestor protection violation2021$389,425
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010$12,200,000
Belden Inc.Beldenindustrial equipmentinvestor protection violation2020$650,000
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015$2,100,000
Monsanto CompanyBayerchemicalsaccounting fraud or deficiencies2016$80,000,000
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
Monsanto CompanyBayerchemicalsForeign Corrupt Practices Act2005$500,000
Baxter International Inc.Baxter Internationalmedical equipment and suppliesaccounting fraud or deficiencies2022$18,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008$10,000,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002$1,000,000
Bausch HealthBausch Healthpharmaceuticalsaccounting fraud or deficiencies2020$45,000,000
Cabela'sBass Proretailingaccounting fraud or deficiencies2016$1,000,000
Barrett Business Services Inc.Barrett Business Servicesmiscellaneous servicesaccounting fraud or deficiencies2018$1,500,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$35,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$15,000,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
Barclays CapitalBarclaysfinancial servicesinvestor protection violation2017$97,037,659
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2017$12,710,040
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$500,000
Barclays PLCBarclaysfinancial servicesForeign Corrupt Practices Act2019$6,308,726
Barclays Bank PLCBarclaysfinancial servicesinvestor protection violation2022$361,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2022$125,000,000
BNY MellonBank of New York Mellonfinancial servicesForeign Corrupt Practices Act2015$14,800,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015$120,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017$6,600,000
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.