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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
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
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
Veras Capital Master Fund, VEY Partners Master Fund and Veras Investment Partners, LLC investor protection violation2005$36,200,488
Emission Controls Corporation fraud2005$343,333
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$15,000,000
Ameriprise Financial, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2005$30,000,000
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management investor protection violation2005$148,000,000
Federated Investors, Inc.Federated Hermesfinancial servicesinvestor protection violation2005$72,000,000
House Asset Management, L.L.C. and House Edge, L.P. investor protection violation2005$1,375,767
Canadian Imperial Bank of CommerceCanadian Imperial Bank of Commercefinancial servicesinvestor protection violation2005$125,000,000
KPMG LLP (KPMG Canada)KPMGbusiness servicesaccounting fraud or deficiencies2005$73,682
HealthSouth CorporationEncompass Healthhealthcare servicesaccounting fraud or deficiencies2005$100,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.