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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
McAfee, Inc.Advent Internationalprivate equity (including portfolio companies)accounting fraud or deficiencies2006$50,000,000
Schnitzer Steel IndustriesSchnitzer Steel IndustriesmetalsForeign Corrupt Practices Act2006$7,725,201
Deutsche Bank Securities, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$442,954
Deutsche Asset Management, Inc. and Deutsche Investment Management Americas, Inc.Deutsche Bankfinancial servicesinvestor protection violation2006$17,200,000
Spinner Asset Management, LLC and Spinner Global Technology Fund, Ltd.? investor protection violation2006$495,596
Kaplan & Co., Securities, Inc. investor protection violation2006$100,000
FCA Corp. investor protection violation2006$25,000
Statoil, ASAEquinoroil and gasinvestor protection violation2006$10,500,000
Wall Street Access investor protection violation2006$688,084
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Cantella & Company, Inc. investor protection violation2006$50,000
Deutsche Investment Management Americas, Inc. et al.Deutsche Bankfinancial servicesinvestor protection violation2006$19,329,729
Dunham & Associates Investment Counsel, Inc. investor protection violation2006$150,000
Delaware Service Company, Inc. investor protection violation2006$435,000
Waddell & Reed, Inc.Macquariefinancial servicesinvestor protection violation2006$50,000,000
Senior Resources Asset Fund, LLC investor protection violation2006$3,699,203
Herzog, Heine, Geduld, LLC investor protection violation2006$1,500,000
IFMG Securities, Inc. investor protection violation2006$1,000,000
Weiss Research, Inc investor protection violation2006$1,991,141
CapitalWorks Investment Partners, LLC investor protection violation2006$40,000
Hutchens Investment Management, Inc.? investor protection violation2006$40,000
Computershare Trust Company of Canada investor protection violation2006$1,101,868
INET ATS, Inc. investor protection violation2006$350,000
Metropolitan Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2006$250,000
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
Morgan Keegan & Co., Inc.Raymond James Financialfinancial servicesinvestor protection violation2006$558,806
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
Microphase Corp. investor protection violation2007$700,000
Nortel Networks Corporation accounting fraud or deficiencies2007$35,000,000
Sandell Asset Management Corp. investor protection violation2007$8,097,494
York International CorporationJohnson Controlsautomotive partsForeign Corrupt Practices Act2007$12,032,880
Federal Home Loan Mortgage Corporation (Freddie Mac)Freddie Mac (Federal Home Loan Mortgage Corporation)financial servicesinvestor protection violation2007$50,000,000
Regional Brokers, Inc. investor protection violation2007$100,000
Electronic Data Systems Corporation accounting fraud or deficiencies2007$490,902
Evergreen Investment Management CompanyWells Fargofinancial servicesinvestor protection violation2007$32,500,000
HSBC Bank USA, N.A.HSBCfinancial servicesinvestor protection violation2007$10,500,000
Swiss Re Financial Products CorporationSwiss Refinancial servicesinvestor protection violation2007$95,000
Sure Trace Security Corporation investor protection violation2007$1,098,900
Commonwealth Equity Services, LLP investor protection violation2007$250,000
Detwiler, Mitchell, Fenton & Graves, Inc. investor protection violation2007$250,000
Textron Inc.Textronaerospace and military contractingForeign Corrupt Practices Act2007$3,535,040
General American Life Insurance CompanyMetLifefinancial servicesinvestor protection violation2007$3,300,000
Platforms Wireless International Corp. investor protection violation2007$2,431,213
First BanCorpFirst Bancorp (Puerto Rico)financial servicesaccounting fraud or deficiencies2007$8,500,000
Cardinal Health, Inc.Cardinal Healthwholesalersaccounting fraud or deficiencies2007$35,000,000
Delta & Pine Land Company and Turk Deltapine, Inc.BayerchemicalsForeign Corrupt Practices Act2007$300,000
ConAgra Foods, Inc.ConAgra Brandsfood productsaccounting fraud or deficiencies2007$45,000,000
GLG Partners, L.P. investor protection violation2007$3,203,639
International Business MachinesIBM Corp.information technologyaccounting fraud or deficiencies2007$7,000,000
Camden Consulting, Inc. and SKS Consulting, Inc. investor protection violation2007$3,925,000
Brocade Communications Systems, Inc.Broadcomelectrical and electronic equipmentaccounting fraud or deficiencies2007$7,000,000
Mercury Interactive, LLC accounting fraud or deficiencies2007$28,000,000
Barclays Bank PLCBarclaysfinancial servicesinsider trading2007$10,943,561
The BISYS GroupCitigroupfinancial servicesaccounting fraud or deficiencies2007$25,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,957,200
Motorola Inc.Motorola Solutionstelecommunicationsaccounting fraud or deficiencies2007$25,000,000
Zurich Capital Markets Inc.Zurich Insurancefinancial servicesinvestor protection violation2007$16,800,000
A.G. Edwards & Sons, Inc.Wells Fargofinancial servicesinvestor protection violation2007$3,860,000
Blue Bottle Limited investor protection violation2007$10,846,785
Baker Hughes IncorporatedBaker Hughesoilfield services and suppliesForeign Corrupt Practices Act2007$33,000,000
Tenet Healthcare CorporationTenet Healthcarehealthcare servicesinvestor protection violation2007$10,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007$10,000,000
Banc of America Securities LLCBank of Americafinancial servicesfraud2007$26,000,000
Goldman Sachs Execution and Clearing L.P.Goldman Sachsfinancial servicesinvestor protection violation2007$2,000,000
Ashlin Capital, LLC and Kyoto Capital Group, LLC investor protection violation2007$455,700
Crestview Capital Partners investor protection violation2007$394,640
GetAnswers, Inc. investor protection violation2007$15,713,676
Dow Chemical CompanyDow Inc.chemicalsForeign Corrupt Practices Act2007$325,000
El Paso CorporationKinder MorganpipelinesForeign Corrupt Practices Act2007$7,700,000
RenaissanceRe Holdings Ltd.RenaissanceRe Holdingsfinancial servicesaccounting fraud or deficiencies2007$15,000,000
MBIA Inc.MBIAfinancial servicesaccounting fraud or deficiencies2007$50,000,000
Fred Alger Management, Inc.Alger Associatesfinancial servicesinvestor protection violation2007$40,000,000
20th Century Jackson Equities, Inc. investor protection violation2007$470,269
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$17,000,000
Park Financial Group, Inc. investor protection violation2007$30,373
Founding Partners Capital Management Compan investor protection violation2007$182,244
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2007$7,500,000
Consulting Services Group, LLC investor protection violation2007$20,000
MCL Financial Group, Inc. investor protection violation2007$60,000
Smith Barney Fund Management LLCMorgan Stanleyfinancial servicesinvestor protection violation2007$450,000
Putnam Investment Management, LLCFranklin Resourcesfinancial servicesinvestor protection violation2007$350,000
AllianceBernstein, L.P.Equitable Holdingsfinancial servicesinvestor protection violation2007$450,000
Intervoice investor protection violation2007$942,628
D.M. Keck & Company, Inc. investor protection violation2007$15,000
Financial Design Associates, Inc. investor protection violation2007$300,000
Folger Nolan Fleming Douglas Capital Management, Inc. investor protection violation2007$244,921
Haidar Capital Management, LLC investor protection violation2007$4,580,000
GLG Partners, LP investor protection violation2007$2,703,635
John Hancock Investment Management Services, LLCManulife Financialfinancial servicesinvestor protection violation2007$19,787,879
Amaranth Advisors L.L.C. investor protection violation2007$716,819
Citigroup Global Markets, Inc.Citigroupfinancial servicesinvestor protection violation2007$200,000
Tier One, Inc. investor protection violation2007$85,500
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2007$1,587,170
Imperium Advisors, LLC investor protection violation2007$119,964
Temple Securities, Ltd. investor protection violation2007$268,346
Vertical Capital Partners, Inc. investor protection violation2007$490,432
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.