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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 ParentCurrent Parent IndustryPrimary Offense TypeYear sort iconPenalty Amount
Orrstown Financial Services, Inc. accounting fraud or deficiencies2016$1,000,000
Weatherford InternationalWeatherford Internationaloilfield services and suppliesaccounting fraud or deficiencies2016$140,000,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016$15,025,882
Anheuser-Busch InBevAnheuser-Busch InBevbeveragesForeign Corrupt Practices Act2016$6,000,000
International Game TechnologyInternational Game Technologymiscellaneous manufacturingaccounting fraud or deficiencies2016$500,000
Och-Ziff Capital Management GroupSculptor Capital Managementfinancial servicesForeign Corrupt Practices Act2016$199,045,167
GlaxoSmithKline plcGlaxoSmithKlinepharmaceuticalskickbacks and bribery2016$20,000,000
Aegis Oil, LLC fraud2016$41,319,067
Credit Suisse AGUBSfinancial servicesaccounting fraud or deficiencies2016$90,000,000
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016$9,500,000
Forcerank LLC investor protection violation2016$50,000
Artis Capital Management investor protection violation2016$8,878,015
Lime Energy Co. accounting fraud or deficiencies2016$1,000,000
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2016$11,800,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016$2,500,000
Embraer S.A.Embraeraerospace and military contractingForeign Corrupt Practices Act2016$98,000,000
Southlake Resources Group, LLC fraud2016$5,681,411
Powersecure International, Inc. accounting fraud or deficiencies2016$470,000
EZTD Inc. investor protection violation2016$1,700,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesForeign Corrupt Practices Act2016$130,000,000
Pacific Investment Management Company (PIMCO) investor protection violation2016$19,829,807
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016$2,400,000
Equidate Inc. investor protection violation2016$80,000
KPMG LLPKPMGbusiness servicesaccounting fraud or deficiencies2016$230,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2016$24,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016$18,500,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$7,500,000
Braskem S.A.BraskemchemicalsForeign Corrupt Practices Act2016$65,000,000
Jack Henry & Associates, Inc.Jack Henry & Associatesinformation technologyaccounting fraud or deficiencies2016$780,000
Teva Pharmaceutical Industries LimitedTeva Pharmaceutical IndustriespharmaceuticalsForeign Corrupt Practices Act2016$236,000,000
General Cable CorporationPrysmian Groupelectrical and electronic equipmentForeign Corrupt Practices Act2016$55,000,000
Interinvest Corporation investor protection violation2016$6,900,000
SandRidge Energy, Inc.SandRidge Energyoil and gasinvestor protection violation2016$1,400,000
Empire Stock Transfer, Inc. investor protection violation2016$154,239
M2 Law Professional Corp. investor protection violation2016$154,267
TPG Advisors LLC investor protection violation2016$328,437
New Silk Route Advisors, L.P. investor protection violation2016$275,000
Grassi & Co., CPAs and P.C. investor protection violation2016$401,510
PMB Helin Donovan, LLP investor protection violation2016$160,000
OTC Global Partners, LLC investor protection violation2016$87,499
Henning-Carey Proprietary Trading, LLC investor protection violation2016$110,000
Hope Capital, Inc. investor protection violation2016$579,747
Dupree Financial Group, LLC investor protection violation2016$25,000
Elray Resources, Inc. investor protection violation2016$50,000
Moloney Securities Co., Inc. investor protection violation2016$41,500
Altair Nanotechnologies, Inc. investor protection violation2016$250,000
Bluefire Renewables, Inc. investor protection violation2016$25,000
Connexus Corporation investor protection violation2016$50,000
Aviva Investors Americas, LLC investor protection violation2016$250,000
Wilmington Savings Fund Society, FSB investor protection violation2016$375,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016$765,688
3C Advisors & Associates, Inc. investor protection violation2016$7,500
First Reserve Management, L.P. investor protection violation2016$3,500,000
Orinda Asset Management, LLC investor protection violation2016$75,000
AssetMark, Inc. investor protection violation2016$500,000
Congress Wealth Management LLC investor protection violation2016$100,000
BB&T Securities, LLCTruist Financialfinancial servicesinvestor protection violation2016$200,000
Constellation Wealth Advisors LLC investor protection violation2016$100,000
Risk Paradigm Group, LLC investor protection violation2016$100,000
Executive Monetary Management, LLC investor protection violation2016$100,000
W.L. Lyons, LLC investor protection violation2016$200,000
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$200,000
HT Partners LLC investor protection violation2016$100,000
Banyan Partners, LLC investor protection violation2016$200,000
Prospera Financial Services, Inc. investor protection violation2016$100,000
Schneider Downs Wealth Management Advisors, LP investor protection violation2016$100,000
Shamrock Asset Management LLC investor protection violation2016$200,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016$2,300,000
Delaney Equity Group LLC investor protection violation2016$20,000
Fortius Financial Advisors, LLC investor protection violation2016$94,070
Concert Global Group Limited and Concert Wealth Management, Inc. investor protection violation2016$120,000
Washington Wealth Management, LLC investor protection violation2016$50,000
Advantage Investment Management, LLC investor protection violation2016$60,000
Riverfront Investment Group, LLC investor protection violation2016$300,000
Secondmarket, Inc. investor protection violation2016$53,755
WFG Advisors, L.P. investor protection violation2016$100,000
Ross, Sinclaire & Associates, LLC investor protection violation2016$903,574
Simpson Hughes Financial, LLC investor protection violation2016$287,119
Feltl & Company, Inc. investor protection violation2016$183,128
Apex Fund Services (US), Inc. investor protection violation2016$171,836
2 West, Inc., et al. investor protection violation2016$2,025,179
School Business Consulting, Inc investor protection violation2016$30,000
Keygent LLC investor protection violation2016$100,000
American Life, Inc. investor protection violation2016$1,000,000
Blackstreet Capital Management, LLC investor protection violation2016$2,622,737
Federated Global Investment Management Corp. investor protection violation2016$1,500,000
Biscayne Capital International, LLC investor protection violation2016$158,087
American Registrar & Transfer Company investor protection violation2016$25,649
MaloneBailey, LL investor protection violation2016$100,000
Santos, Postal & Company, P.C. investor protection violation2016$29,076
Innovative Business Solutions, LLC investor protection violation2016$357,986
Craig Scott Capital, LLC investor protection violation2016$100,000
Thakkar CPA, PLLC investor protection violation2016$359,487
Cambridge Investment Research Advisors, Inc. investor protection violation2016$225,000
Canaccord Genuity Inc. investor protection violation2016$550,198
Central States Capital Markets, LLC investor protection violation2016$374,827
First Southwest Company, LLC investor protection violation2016$222,400
Marco Investment Management, LLC investor protection violation2016$232,345
Cantella & Co. investor protection violation2016$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.