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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
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015$12,000,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015$58,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015$14,400,000
Bristol-Myers SquibbBristol-Myers SquibbpharmaceuticalsForeign Corrupt Practices Act2015$14,000,000
Hitachi Ltd.HitachidiversifiedForeign Corrupt Practices Act2015$19,000,000
BNY MellonBank of New York Mellonfinancial servicesForeign Corrupt Practices Act2015$14,800,000
Mead Johnson Nutrition CompanyReckitt Benckiserhousehold and personal care productsForeign Corrupt Practices Act2015$12,000,000
BHP BillitonBHP Groupmining and mineralsForeign Corrupt Practices Act2015$25,000,000
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015$9,500,000
Goodyear Tire & Rubber Co.Goodyear Tire & Rubberautomotive partsForeign Corrupt Practices Act2015$16,000,000
PBSJ Corporation Foreign Corrupt Practices Act2015$3,400,000
Grant Thornton LLPGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$4,500,000
Marwood Group Research LLC investor protection violation2015$375,000
Sands Brothers Asset Management LLC investor protection violation2015$1,000,000
Fenway Partners LLC investor protection violation2015$8,716,471
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015$2,750,000
Summit Trust Company accounting fraud or deficiencies2015$18,900,000
DBRS Inc. investor protection violation2015$5,814,482
Premiere Power LLC investor protection violation2015$2,587,523
Auriga Global Investors, Sociedad de Valores, S.A. investor protection violation2015$618,401
Harvest Capital Strategies LLC investor protection violation2015$84,454
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015$1,084,210
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015$134,026
Sabby Management LLC investor protection violation2015$278,747
War Chest Capital Partners LLC investor protection violation2015$351,818
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015$1,153,303
Briargate Trading LLP investor protection violation2015$912,842
Home Loan Servicing Solutions Ltd. accounting fraud or deficiencies2015$1,500,000
Grant Thornton India LLP and Grant Thornton Audit Pty LimitedGrant Thorntonbusiness servicesaccounting fraud or deficiencies2015$365,085
Spencer Pharmaceutical Inc. investor protection violation2015$1,000,000
Focus Media Holding Limited investor protection violation2015$55,600,000
Trinity Capital Corporation accounting fraud or deficiencies2015$1,500,000
Idle Media Inc. accounting fraud or deficiencies2015$50,000
Stein Mart Inc. accounting fraud or deficiencies2015$800,000
First Eagle Investment Management and FEF Distributors investor protection violation2015$39,748,260
8000 Inc. investor protection violation2015$6,500,000
BDO USABDO Internationalbusiness servicesaccounting fraud or deficiencies2015$2,100,000
Bankrate Inc.Red Venturesbusiness servicesaccounting fraud or deficiencies2015$15,000,000
MusclePharm Corporation accounting fraud or deficiencies2015$700,000
Summit Asset Strategies accounting fraud or deficiencies2015$1,143,933
Taberna Capital Management investor protection violation2015$21,500,000
EnviraTrends, Inc. investor protection violation2015$150,000
Colonial Tidewater Realty Income Partners investor protection violation2015$1,319,386
ITG Inc. investor protection violation2015$20,300,000
Guggenheim Partners Investment Management LLCGuggenheim Partnersfinancial servicesinvestor protection violation2015$20,000,000
ABS Manager investor protection violation2015$1,087,648
OZ Management LPSculptor Capital Managementfinancial servicesdata submission deficiencies2015$4,250,000
Vero Capital Management LLC accounting fraud or deficiencies2015$3,068,706
Deloitte & Touche LLPDeloittebusiness servicesaccounting fraud or deficiencies2015$1,113,916
AlphaBridge Capital Management accounting fraud or deficiencies2015$5,000,000
The Baker Group, LP investor protection violation2015$250,000
B.C. Ziegler and Company investor protection violation2015$250,000
Benchmark Securities, LLC investor protection violation2015$100,000
Bernardi Securities, Inc. investor protection violation2015$100,000
BMO Capital Markets GKST Inc.Piper Sandlerfinancial servicesinvestor protection violation2015$250,000
BNY Mellon Capital Markets, LLCBank of New York Mellonfinancial servicesinvestor protection violation2015$120,000
BOSC, Inc. investor protection violation2015$250,000
Central States Capital Markets, LLC investor protection violation2015$60,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2015$500,000
City Securities Corporation investor protection violation2015$250,000
Davenport & Company LLC investor protection violation2015$80,000
Dougherty & Co. LLC investor protection violation2015$250,000
First National Capital Markets, Inc. investor protection violation2015$100,000
George K. Baum & Company investor protection violation2015$250,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$500,000
Hutchinson, Shockey, Erley & Co.Huntington Bancsharesfinancial servicesinvestor protection violation2015$220,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2015$500,000
L.J. Hart and Company investor protection violation2015$100,000
Loop Capital Markets, LLC investor protection violation2015$60,000
Martin Nelson & Co., Inc. investor protection violation2015$100,000
Merchant Capital, L.L.C. investor protection violation2015$100,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2015$500,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2015$500,000
The Northern Trust CompanyNorthern Trustfinancial servicesinvestor protection violation2015$60,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Piper Jaffray & Co.Piper Sandlerfinancial servicesinvestor protection violation2015$500,000
Raymond James & Associates, Inc.Raymond James Financialfinancial servicesinvestor protection violation2015$500,000
RBC Capital Markets, LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2015$500,000
Robert W. Baird & Co. Incorporated investor protection violation2015$500,000
Siebert Brandford Shank & Co., LLC investor protection violation2015$240,000
Smith Hayes Financial Services Corporation investor protection violation2015$40,000
Stephens Inc. investor protection violation2015$400,000
Sterne, Agee & Leach, Inc. investor protection violation2015$80,000
Stifel, Nicolaus & Company, Inc.Stifel Financialfinancial servicesinvestor protection violation2015$500,000
Wells Nelson & Associates, LLC investor protection violation2015$100,000
William Blair & Co., L.L.C. investor protection violation2015$80,000
Sand Hill Exchange investor protection violation2015$20,000
Computer Sciences CorporationDXC Technologyinformation technologyaccounting fraud or deficiencies2015$190,000,000
First BancorpFirst Bancorp (North Carolina)financial servicesaccounting fraud or deficiencies2015$275,000
Wwebnet Inc. accounting fraud or deficiencies2015$15,459,127
China Valves Technology Inc. investor protection violation2015$575,000
Nationwide Life Insurance CompanyNationwidefinancial servicesinvestor protection violation2015$8,000,000
Polycom Inc.Plantronicsmiscellaneous manufacturingaccounting fraud or deficiencies2015$750,000
Macquarie Capital (USA) Inc.Macquariefinancial servicesinvestor protection violation2015$15,000,000
BioChemics Inc. investor protection violation2015$17,897,887
H.D. Vest Investment Securities investor protection violation2015$225,000
GLR Advisers LLC accounting fraud or deficiencies2015$2,772,475
VCAP Securities investor protection violation2015$1,477,332
Broadwind EnergyBroadwind Inc.utilities and power generationaccounting fraud or deficiencies2015$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.