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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
Marketxt, Inc. investor protection violation2005$49,965
Banc of America Investment Services, Inc., and Bacap Distributors, LLCBank of Americafinancial servicesinvestor protection violation2005$1,500,000
Credit Suisse First Boston, LLCUBSfinancial servicesinvestor protection violation2005$200,000
Fiserv Securities, Inc.Fidelity Investmentsfinancial servicesinvestor protection violation2005$15,000,000
vFinance Investments, Inc. investor protection violation2005$50,000
Capital Analysts Incorporated investor protection violation2005$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2005$40,000,001
Colley Asset Management, Inc. investor protection violation2005$100,000
Brean Murray & Co., Inc. investor protection violation2005$150,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2005$700,000
Edward D. Jones & Co., L.P.Jones Financialfinancial servicesinvestor protection violation2004$75,000,000
PanaMed Corp. investor protection violation2004$5,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2004$66,500,000
First Command Financial Planning, Inc. investor protection violation2004$12,000,000
Franklin Advisers, Inc. and Franklin Templeton Distributors, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$20,000,000
American International Group, Inc.American International Groupfinancial servicesinvestor protection violation2004$46,000,000
Fremont Investment Advisors investor protection violation2004$4,146,000
Wachovia CorporationWells Fargofinancial servicesinvestor protection violation2004$37,000,000
Beacon Hill Asset Management, LLC investor protection violation2004$600,000
Qwest Communications International Inc.Lumen Technologiestelecommunicationsaccounting fraud or deficiencies2004$250,000,000
AIM Advisors, Inc. and AIM Distributors, Inc.Invescofinancial servicesinvestor protection violation2004$50,000,000
Invesco Funds Group, Inc.Invescofinancial servicesinvestor protection violation2004$325,000,000
RS Investment Management L.P. investor protection violation2004$25,000,000
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
TD Waterhouse Investor Services, Inc.Toronto-Dominion Bankfinancial servicesinvestor protection violation2004$2,000,000
A.C.L.N. Ltd. and Scandinavian Car Carriers investor protection violation2004$27,000,000
Bridgeway Capital Management investor protection violation2004$5,116,464
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$11,600,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2004$350,000
Dean Foods CompanyDairy Farmers of America (DFA)food productsaccounting fraud or deficiencies2004$400,000
Digital Exchange Systems, Inc. accounting fraud or deficiencies2004$100,000
Kemps LLC, f/k/a Marigold Foods LLC accounting fraud or deficiencies2004$150,000
National Institute Companies of America, Inc. investor protection violation2004$1,600,000
PA Fund Management LLC, PEA Capital LLC and PA Distributors LLCAllianzfinancial servicesinvestor protection violation2004$50,000,000
ACI Inc. investor protection violation2004$7,756,750
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2004$87,500,000
Thomas Weisel Partners LLCStifel Financialfinancial servicesinvestor protection violation2004$12,500,000
Van Wagoner Capital Management, Inc. investor protection violation2004$800,000
Adams Harkness, Inc. f/k/a Adams Harkness & Hill, Inc. investor protection violation2004$575,000
Friedman, Billings, Ramsey & Co., Inc.Arlington Asset Investment Corp.financial servicesinvestor protection violation2004$125,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2004$875,000
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$875,000
Needham & Company, Inc. investor protection violation2004$700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.Prudential Financialfinancial servicesinvestor protection violation2004$375,000
SG Cowen & Co., LLC f/k/a SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2004$125,000
Royal Dutch Petroleum CompanyShell PLCoil and gasaccounting fraud or deficiencies2004$120,000,000
One Touch Marketing, Inc. fraud2004$1,608,102
Janus Capital Management LLCJanus Hendersonfinancial servicesinvestor protection violation2004$100,000,000
Conseco, Inc.CNO Financialfinancial servicesinvestor protection violation2004$15,000,000
Inviva Inc. investor protection violation2004$5,000,000
Doeren Mayhew & Co. P.C. accounting fraud or deficiencies2004$115,126
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2004$1,500,000
Bristol-Myers Squibb CompanyBristol-Myers Squibbpharmaceuticalsaccounting fraud or deficiencies2004$150,000,000
Fidelity Brokerage Services, LLCFidelity Investmentsfinancial servicesinvestor protection violation2004$1,000,000
Halliburton Co.Halliburtonoilfield services and suppliesaccounting fraud or deficiencies2004$7,500,000
Franklin Advisers, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$50,000,000
World Class Limousines, Inc. and 1-800-GET-LIMO, Inc. investor protection violation2004$1,522,500
Performance Specialist Group LLC investor protection violation2004$2,171,932
SIG Specialists, Inc. investor protection violation2004$3,033,589
Global Telecom Services, L.L.C. d/b/a Medical Disposal Devices investor protection violation2004$1,431,369
ABB LtdABB Ltd.utilities and power generationForeign Corrupt Practices Act2004$5,900,000
Banc One Investment Advisors CorporationJPMorgan Chasefinancial servicesinvestor protection violation2004$50,000,000
Measurement Specialties, Inc. accounting fraud or deficiencies2004$1,000,000
Gemstar-TV Guide International, Inc. accounting fraud or deficiencies2004$10,000,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2004$125,000
Pilgrim Baxter & Associates, Ltd. investor protection violation2004$90,000,000
i2 Technologies, Inc. accounting fraud or deficiencies2004$10,000,000
Schering-Plough CorporationMerckpharmaceuticalsForeign Corrupt Practices Act2004$500,000
Symbol Technologies, Inc.Zebra Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2004$37,000,000
Del Global Technologies Corp., Inc. accounting fraud or deficiencies2004$400,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2004$80,000,000
LNB Bancorp, Inc. investor protection violation2004$100,000
Lucent Technologies Inc.Nokiatelecommunicationsaccounting fraud or deficiencies2004$25,000,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004$2,400,000
National Investment Enterprises, Inc. fraud2004$2,602,490
Putnam Investment Management LLCFranklin Resourcesfinancial servicesinvestor protection violation2004$55,000,000
CDH & Affiliates, Inc. investor protection violation2004$4,317,616
Metropolis Holdings, LLC fraud2004$3,320,000
Security Trust Company, N.A. investor protection violation2004$1,000,000
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2004$50,000,000
Bear Wagner Specialists LLC investor protection violation2004$16,259,446
Fleet Specialist, Inc. investor protection violation2004$59,097,469
LaBranche & Co., LLC investor protection violation2004$63,518,760
Spear, Leeds & Kellogg Specialists LLCGoldman Sachsfinancial servicesinvestor protection violation2004$45,272,478
Van der Moolen Specialists USA, LLC investor protection violation2004$57,675,104
FleetBoston Financial CorporationBank of Americafinancial servicesinvestor protection violation2004$140,000,000
Banc of America Securities LLCBank of Americafinancial servicesinvestor protection violation2004$10,000,000
Ace Payday Plus, LLC investor protection violation2004$1,842,133
American Express Financial Advisors Inc.Ameriprise Financialfinancial servicesinvestor protection violation2004$3,706,693
H.D. Vest Investment Securities, Inc. investor protection violation2004$725,216
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$2,315,467
Linsco/Private Ledger Corp. investor protection violation2004$2,232,805
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$2,595,129
UBS Financial Services Inc.UBSfinancial servicesinvestor protection violation2004$4,621,768
Wachovia Securities, LLCWells Fargofinancial servicesinvestor protection violation2004$4,844,465
Massachusetts Financial Services Co.Sun Life Financialfinancial servicesinvestor protection violation2004$225,000,000
Groh Asset Management, Inc. investor protection violation2004$45,000
Kiely Financial Services, Inc. investor protection violation2004$154,256
Rudney Associates, Inc. investor protection violation2004$62,330
Taglich Brothers, Inc. investor protection violation2004$50,000
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.