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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
Donaldson, Lufkin & Jenrette Securities Corp.UBSfinancial servicesinvestor protection violation2004$1,000,000
JC Management, Inc. investor protection violation2004$27,991
Connecticut Capital Markets, L.L.C. investor protection violation2004$259,110
SEI Investments Distribution Company and SEI Investments Company investor protection violation2004$375,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2004$2,000,000
Fidelity National Capital Investors, Inc. investor protection violation2004$125,000
Freedom Financial, Inc. investor protection violation2004$25,000
David Lerner Associates, Inc. investor protection violation2004$50,000
Nevis Capital Management, LLC investor protection violation2004$1,700,000
Hard Asset Management, Inc. investor protection violation2004$62,439
Celebrity Resorts and Casinos, Inc. investor protection violation2004$347,250
Research Investment Group, Inc. investor protection violation2004$24,721
Vivendi Universal, S.A.Comcasttelecommunicationsaccounting fraud or deficiencies2003$50,000,000
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesaccounting fraud or deficiencies2003$80,000,000
Alliance Capital Management L.P.Equitable Holdingsfinancial servicesinvestor protection violation2003$250,000,000
Morgan Stanley DW Inc.Morgan Stanleyfinancial servicesinvestor protection violation2003$50,000,000
Premier Marketing and Investments, Inc. investor protection violation2003$4,497,451
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$25,000,000
American International Group, Inc.American International Groupfinancial servicesaccounting fraud or deficiencies2003$10,000,000
Schering-Plough CorporationMerckpharmaceuticalsinvestor protection violation2003$1,000,000
Gardere Wynne Sewell LLP accounting fraud or deficiencies2003$2,000,000
Goldman SachsGoldman Sachsfinancial servicesinvestor protection violation2003$9,305,382
Massachusetts Financial Services CompanySun Life Financialfinancial servicesinvestor protection violation2003$917,858
UBS PaineWebber, Inc.UBSfinancial servicesinvestor protection violation2003$500,000
Deutsche Asset Management, Inc.Deutsche Bankfinancial servicesinvestor protection violation2003$750,000
Lehman Brothers, Inc. investor protection violation2003$2,500,000
SG Cowen Securities CorporationToronto-Dominion Bankfinancial servicesinvestor protection violation2003$5,000,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. investor protection violation2003$10,500,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$101,000,000
Citigroup, Inc.Citigroupfinancial servicesaccounting fraud or deficiencies2003$19,000,000
J.P. Morgan Chase & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2003$135,000,000
The Gaming Factory, Inc. investor protection violation2003$2,100,102
Prudential Securities, Inc.Wells Fargofinancial servicesinvestor protection violation2003$382,000
WorldCom Inc.Verizon Communicationstelecommunicationsaccounting fraud or deficiencies2003$500,000,000
Stratcomm Media Ltd. investor protection violation2003$45,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2003$1,000,000
EyeCashNetworks, Inc. and Alliance Equities, Inc. investor protection violation2003$688,230
Bear, Stearns & Co. Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003$200,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Lehman Brothers Inc. investor protection violation2003$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003$80,000,000
Merrill Lynch & Co. Inc.Bank of Americafinancial servicesaccounting fraud or deficiencies2003$80,000,000
North American Medical Products, Inc. investor protection violation2003$120,000
TrendsGroup International, Inc. investor protection violation2003$445,691
Rhino Advisors Inc. investor protection violation2003$1,000,000
Africa Gemstone Corporation investor protection violation2003$242,840
Robertson Stephens Inc. investor protection violation2003$33,000,000
FT Interactive Data investor protection violation2003$125,000
Brut, LLCNasdaq Inc.financial servicesinvestor protection violation2003$45,000
Research Capital, LLC investor protection violation2003$6,337
EquityAlert.com, Inc. and Innotech Corporation investor protection violation2003$31,555
Mid-Ohio Securities Corp. investor protection violation2003$25,000
Andover Brokerage, LLC investor protection violation2003$151,876
Spear, Leeds & Kellogg, L.P.Goldman Sachsfinancial servicesinvestor protection violation2003$450,000
Ascend Capital, LLC investor protection violation2003$46,258
Jamison, Eaton & Wood, Inc. investor protection violation2003$100,000
Baron Capital, Inc. investor protection violation2003$2,000,000
Harvest Financial Corporation investor protection violation2003$25,000
Syncor International Corporation Foreign Corrupt Practices Act2002$500,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002$1,650,000
ICN Pharmaceuticals, Inc.Bausch Healthpharmaceuticalsaccounting fraud or deficiencies2002$1,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding investor protection violation2002$4,460,634
Anamar Communications, Inc. investor protection violation2002$136,917
Basic Capital Management, Inc. investor protection violation2002$850,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002$3,000,000
Tradamax Group, Inc. fraud2002$149,408
Oxford Health Plans, Inc.UnitedHealth Grouphealthcare servicesaccounting fraud or deficiencies2002$250,000
PricewaterhouseCoopers LLPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2002$5,000,000
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002$1,268,253
W.J. Nolan & Co., Inc. investor protection violation2002$192,028
Moret Ernst & Young Accountants accounting fraud or deficiencies2002$400,000
Gardere Wynne Sewell LLP data submission deficiencies2002$1,200,000
Advance Local Development Corp. investor protection violation2002$9,509,736
Commercial Express, LLC and Progressive Financial, Inc. investor protection violation2002$23,032,869
Xerox CorporationXeroxmiscellaneous servicesaccounting fraud or deficiencies2002$10,000,000
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002$242,840
iCapital Markets LLC investor protection violation2002$6,300,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002$100,000,000
BellSouth CorporationAT&TtelecommunicationsForeign Corrupt Practices Act2002$150,000
Financial Asset Management, Inc. accounting fraud or deficiencies2002$25,000
Gemisys Corporation investor protection violation2002$15,000
Millenium Capital Advisors of Pennsylvania, Inc investor protection violation2002$50,000
Gintel Asset Management, Inc. and Gintel & Co. LLC investor protection violation2002$175,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2002$100,000
Back Bay Advisors, L.P. investor protection violation2002$150,000
Renberg Capital Management, Inc. investor protection violation2002$40,000
Dean Witter Reynolds Inc.Morgan Stanleyfinancial servicesinvestor protection violation2002$500,000
Vanderbilt Capital Advisors LLC investor protection violation2002$125,000
RBC Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2002$500,000
Knight Securities, L.P.Virtu Financialfinancial servicesinvestor protection violation2002$75,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.