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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
Tri Energy, Inc. fraud2009$37,048,466
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009$3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
M.A.G. Capital LLC investor protection violation2009$100,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Equity Services, Inc. investor protection violation2009$300,000
Simpson Capital Management, Inc. investor protection violation2009$6,650,000
Merriman Curhan Ford & Co. investor protection violation2009$100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Perceptive Advisors LLC investor protection violation2009$439,755
First New York Securities L.L.C. investor protection violation2009$69,008
GLB Trading, Inc. investor protection violation2009$220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009$100,000
United Global Securities, Inc. investor protection violation2009$25,000
Lightspeed Trading LLC investor protection violation2009$77,260
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
Merchant Capital, L.L.C. investor protection violation2009$55,000
United Industrial Corporation investor protection violation2009$337,679
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009$15,000,000
INTECH Investment Management LLC investor protection violation2009$300,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$500,001
Hennessee Group LLC investor protection violation2009$814,644
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$65,000
Cornerstone Capital Management, Inc.? investor protection violation2009$335,758
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
Susquehanna Investment Group investor protection violation2009$7,640,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
Group One Trading, L.P. investor protection violation2009$1,800,000
Equitec Proprietary Markets, LLC investor protection violation2009$2,080,000
Botta Capital Management, L.L.C. investor protection violation2009$825,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
Lazard Capital Markets LLC investor protection violation2008$2,847,008
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008$250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008$510,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008$3,000,000
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008$10,000,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008$41,774,923
Quogue Capital LLC investor protection violation2008$390,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008$6,417,122
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008$12,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008$10,000,000
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008$30,000,000
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Flowserve CorporationFlowserveindustrial equipmentForeign Corrupt Practices Act2008$6,574,225
Westinghouse Air Brake Technologies CorporationWestinghouse Air Brake Technologies (Wabtec)industrial equipmentForeign Corrupt Practices Act2008$288,351
FacePrint Global Solutions, Inc. investor protection violation2008$1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008$39,900,000
AirTrac Inc. investor protection violation2008$2,005,401
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008$101,711
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008$9,983,586
Lazare Industries, Inc. investor protection violation2008$1,975,911
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
MedCap Management & Research LLC investor protection violation2008$70,632
Victoire Finance Capital LLC investor protection violation2008$215,631
Sirios Capital Management, L.P.? investor protection violation2008$287,058
Moon Capital Management, LP? investor protection violation2008$139,071
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
Finance 500, Inc. investor protection violation2008$345,499
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
Pax World Management Corp. investor protection violation2008$500,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
First Southwest Company investor protection violation2008$150,000
Quogue Capital LLC investor protection violation2008$944,056
vFinance Investments, Inc. investor protection violation2008$26,559
First Montauk Securities Corp. investor protection violation2008$100,742
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
Heartland Advisors, Inc. investor protection violation2008$3,500,000
Chronos Asset Management, Inc. investor protection violation2008$2,176,915
Lucent Technologies Inc.NokiatelecommunicationsForeign Corrupt Practices Act2007$1,500,000
Akzo Nobel N.V.Carlyle Groupprivate equity (including portfolio companies)Foreign Corrupt Practices Act2007$2,981,513
Chevron CorporationChevronoil and gasForeign Corrupt Practices Act2007$30,000,000
Armstrong Capital Ltd. and Bay Capital Investment Ltd. investor protection violation2007$1,795,000
TCMP3 Partners L.P., TCMP3 Capital LLC, and Titan Capital Management, LLC investor protection violation2007$1,045,060
Ingersoll-Rand Company Ltd.Ingersoll Randindustrial equipmentForeign Corrupt Practices Act2007$4,220,987
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.