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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
New Futures Trading International Corporation investor protection violation2012$1,433,889
Global Development & Environmental Resources, Inc. investor protection violation2012$2,645,798
Martin Currie investor protection violation2012$8,300,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012$1,817,277
Pentagon Capital Management investor protection violation2012$98,600,000
United American Ventures, LLC investor protection violation2012$9,079,372
Diamondback Capital Management LLC investor protection violation2012$9,000,000
New America High Income Fund, Inc. investor protection violation2012$413,399
New England Investment and Retirement Group, Inc. investor protection violation2012$200,000
Aladdin Capital Management LLC investor protection violation2012$1,618,831
Edelweiss Financial Services Limited investor protection violation2012$568,347
JM Financial Institutional Securities Private Limited investor protection violation2012$443,545
Motilal Oswal Securities Limited investor protection violation2012$821,594
Ambit Capital Pvt. Ltd. investor protection violation2012$30,910
EM Capital Management, LLC? investor protection violation2012$20,000
BTS Asset Management, Inc. investor protection violation2012$200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012$200,000
JCSD Capital, LLC investor protection violation2012$94,222
Prescient Capital Partners, Ltd. investor protection violation2012$29,968
Stock Markets Institute, Inc. investor protection violation2012$75,000
Western Pacific Capital Management, LLC investor protection violation2012$781,940
JP Turner & Company, LLC investor protection violation2012$416,051
Consultiva Internacional, Inc. investor protection violation2012$35,000
Wesley Capital Management, LLC investor protection violation2012$232,289
Delaware Asset Advisers investor protection violation2012$4,814,520
Centaur Management Co. LLC investor protection violation2012$364,322
Calhoun Asset Management, LLC investor protection violation2012$50,000
Harbinger Capital Partners, LLC investor protection violation2012$1,378,763
Sharespost, Inc. investor protection violation2012$80,000
EB Financial Group, LLC investor protection violation2012$310,499
Mercury Capital investor protection violation2012$45,747
1st Discount Brokerage, Inc. investor protection violation2012$40,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012$100,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$8,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011$153,600,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011$11,000,000
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
Magyar Telekom PlcDeutsche TelekomtelecommunicationsForeign Corrupt Practices Act2011$31,200,000
Aon CorporationAonfinancial servicesForeign Corrupt Practices Act2011$14,545,020
Watts Water Technologies Inc.Watts Water Technologies Inc.miscellaneous manufacturingForeign Corrupt Practices Act2011$2,955,815
Diageo PLCDiageobeveragesForeign Corrupt Practices Act2011$16,373,820
Armor Holdings Inc.BAE Systemsaerospace and military contractingForeign Corrupt Practices Act2011$5,700,000
Tenaris S.A.TechintdiversifiedForeign Corrupt Practices Act2011$5,400,000
Rockwell Automation Inc.Rockwell Automationindustrial equipmentForeign Corrupt Practices Act2011$2,761,091
Johnson & JohnsonJohnson & JohnsonpharmaceuticalsForeign Corrupt Practices Act2011$48,600,000
Comverse Technology Inc. Foreign Corrupt Practices Act2011$1,600,000
Ball CorporationBall Corp.paper and packagingForeign Corrupt Practices Act2011$300,000
International Business Machines Corp.IBM Corp.information technologyForeign Corrupt Practices Act2011$10,000,000
Tyson Foods Inc.Tyson Foodsfood productsForeign Corrupt Practices Act2011$5,000,000
Maxwell Technologies Inc.Tesla Inc.motor vehiclesForeign Corrupt Practices Act2011$6,350,890
Drake Asset Management LLC investor protection violation2011$175,000
Banco Espirito Santo S.A. investor protection violation2011$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011$750,000
Wall Street Capital Funding LLC investor protection violation2011$300,000
Locke Capital Management Inc. investor protection violation2011$3,673,996
LaBarge Inc. accounting fraud or deficiencies2011$200,000
Onele Trading & Finance Ltd. investor protection violation2011$5,729,276
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011$10,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011$6,000,000
Aerokinetic Energy Corporation investor protection violation2011$859,571
LandOak Securities LLC investor protection violation2011$992,140
Navigators International Management Co., Ltd. investor protection violation2011$45,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011$2,742,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Deerfield Capital Corp. accounting fraud or deficiencies2011$1,277,070
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011$500,000
Hudson Highland Group accounting fraud or deficiencies2011$200,000
Enzyme Environmental Solutions, Inc. investor protection violation2011$371,135
Investment Placement Group investor protection violation2011$4,072,027
Touradji Capital Management, L.P. investor protection violation2011$1,303,336
Hanes Morgan & Co., Inc investor protection violation2011$100,000
Feltl & Company, Inc. investor protection violation2011$203,172
Asset Advisors, LLC investor protection violation2011$20,000
FTN Financial Securities Corp. investor protection violation2011$1,873,636
Pipeline Trading Systems LLC investor protection violation2011$1,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011$2,500,000
Gilford Securities, Incorporated investor protection violation2011$612,113
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
Fontana Capital, LLC investor protection violation2011$984,790
Brookside Capital, LLC investor protection violation2011$2,124,079
Level Global Investors, L.P. investor protection violation2011$3,244,171
Pegasus Investment Management, LLC investor protection violation2011$95,469
Wunderlich Securities, Inc. investor protection violation2011$532,624
Legend Securities, Inc. investor protection violation2011$50,000
Aristeia Capital, LLC investor protection violation2011$1,762,776
JSK Associates, Inc. investor protection violation2011$60,000
Securities Transfer Corporation investor protection violation2011$10,000
Envision Capital Management, Ltd. investor protection violation2011$100,000
Alpine Woods Capital Investors, LLC investor protection violation2011$650,000
Horseman Capital Management, L.P.? investor protection violation2011$1,484,952
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.