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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
Vertical Capital Partners, Inc. investor protection violation2007$490,432
Pacific Growth Equities, LLC investor protection violation2007$425,000
Kelmoore Investment Company, Inc. investor protection violation2007$100,000
Deutsche Bank Trust Company AmericasDeutsche Bankfinancial servicesinvestor protection violation2007$750,000
The Bank Of New YorkBank of New York Mellonfinancial servicesinvestor protection violation2007$750,000
Wilmington Trust CompanyM&T Bankfinancial servicesinvestor protection violation2007$100,000
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Zurich Financial ServicesZurich Insurancefinancial servicesaccounting fraud or deficiencies2008$25,000,000
Lazard Capital Markets LLC investor protection violation2008$2,847,008
AmSouth BankRegions Financialfinancial servicesinvestor protection violation2008$11,400,000
Conversion Solutions Holding Corporation accounting fraud or deficiencies2008$250,000
United Rentals, IncUnited Rentalsmiscellaneous servicesaccounting fraud or deficiencies2008$14,000,000
H&M Petroleum Corporation and American Energy Resources Corporation investor protection violation2008$510,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Scottrade, Inc.Charles Schwab Corp.financial servicesinvestor protection violation2008$950,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008$3,000,000
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
Marvell Technology Group, Ltd.Marvell Technologyelectrical and electronic equipmentaccounting fraud or deficiencies2008$10,000,000
Oriental New Investments, Ltd. and Orienstar Finance, Ltd. investor protection violation2008$41,774,923
Quogue Capital LLC investor protection violation2008$390,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2008$9,763,634
McCann-Erickson WorldwideInterpublicmiscellaneous servicesaccounting fraud or deficiencies2008$12,000,000
Elfindepan, S.A., Strategic Asset Funds, S.A. and Southern Financial Group investor protection violation2008$6,417,122
Broadcom Corp.Broadcomelectrical and electronic equipmentinvestor protection violation2008$12,000,000
Biovail CorporationBausch Healthpharmaceuticalsaccounting fraud or deficiencies2008$10,000,000
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
W.P. Carey & Co.W.P. Carey Inc.real estateaccounting fraud or deficiencies2008$30,000,000
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Flowserve CorporationFlowserveindustrial equipmentForeign Corrupt Practices Act2008$6,574,225
Westinghouse Air Brake Technologies CorporationWestinghouse Air Brake Technologies (Wabtec)industrial equipmentForeign Corrupt Practices Act2008$288,351
FacePrint Global Solutions, Inc. investor protection violation2008$1,573,825
Ritchie Multi-Strategy Global Trading Ltd. and Ritchie Capital Management LLC investor protection violation2008$39,900,000
AirTrac Inc. investor protection violation2008$2,005,401
Halt, Buzas & Powell, Ltd. accounting fraud or deficiencies2008$101,711
K.W. Brown & Company, 21st Century Advisors Inc., and K.W. Brown Investments, Inc. accounting fraud or deficiencies2008$9,983,586
Lazare Industries, Inc. investor protection violation2008$1,975,911
Milkie/Ferguson Investments, Inc. investor protection violation2008$25,000
MedCap Management & Research LLC investor protection violation2008$70,632
Victoire Finance Capital LLC investor protection violation2008$215,631
Sirios Capital Management, L.P.? investor protection violation2008$287,058
Moon Capital Management, LP? investor protection violation2008$139,071
LPL Financial CorporationLPL Financialfinancial servicesinvestor protection violation2008$275,000
Finance 500, Inc. investor protection violation2008$345,499
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
Pax World Management Corp. investor protection violation2008$500,000
E*Trade Clearing LLCMorgan Stanleyfinancial servicesinvestor protection violation2008$500,000
DKR Oasis Management Company, L.P.? investor protection violation2008$282,413
First Southwest Company investor protection violation2008$150,000
Quogue Capital LLC investor protection violation2008$944,056
vFinance Investments, Inc. investor protection violation2008$26,559
First Montauk Securities Corp. investor protection violation2008$100,742
Gabelli Funds LLCGamco Investors Inc.financial servicesinvestor protection violation2008$16,000,000
JPMorgan Chase & Co.JPMorgan Chasefinancial servicesinvestor protection violation2008$1,998,143
Heartland Advisors, Inc. investor protection violation2008$3,500,000
Chronos Asset Management, Inc. investor protection violation2008$2,176,915
UTStarcom, Inc. Foreign Corrupt Practices Act2009$1,500,000
ICAP plcCME Groupfinancial servicesinvestor protection violation2009$25,000,000
Ernst & Young LLPErnst & Youngbusiness servicesaccounting fraud or deficiencies2009$8,500,000
Investools Inc. fraud2009$3,000,000
Compass Capital Group, Inc. investor protection violation2009$800,000
Concorde America, Inc. investor protection violation2009$841,175
GMC Holding Corporation investor protection violation2009$2,090,000
SafeNet, Inc. accounting fraud or deficiencies2009$1,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
Value Line Inc. investor protection violation2009$43,705,765
Thompson Price Holding Inc. investor protection violation2009$288,815
Lion Gate Capital, Inc. investor protection violation2009$150,000
AGCO CorporationAGCO Corp.agribusinessForeign Corrupt Practices Act2009$18,300,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2009$1,000,000
VeriFone Holdings, Inc.Francisco Partnersprivate equity (including portfolio companies)accounting fraud or deficiencies2009$25,000
Terex CorporationTerexheavy equipmentaccounting fraud or deficiencies2009$8,000,000
Hazan Capital Management LLC investor protection violation2009$4,000,000
TJM Proprietary Trading LLC investor protection violation2009$541,000
General Electric CompanyGeneral Electricdiversifiedaccounting fraud or deficiencies2009$50,000,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2009$33,000,000
Nature's Sunshine Products Inc.Nature's Sunshine Productshousehold and personal care productsForeign Corrupt Practices Act2009$600,000
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009$518,470
Perry Corp. investor protection violation2009$150,000
Morgan StanleyMorgan Stanleyfinancial servicesinvestor protection violation2009$500,000
Marshall Holdings International, Inc. investor protection violation2009$8,974,033
Ameriprise Financial Services, Inc.Ameriprise Financialfinancial servicesinvestor protection violation2009$17,300,000
Colonial Fund LLC and Colonial Investment Management LLC investor protection violation2009$1,400,000
Evergreen Investment Management Company LLCWells Fargofinancial servicesinvestor protection violation2009$40,000,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009$2,500,000
WellCare Health Plans, Inc.Centenehealthcare servicesinvestor protection violation2009$10,000,000
Novo Nordisk A/SNovo Holdings A/SpharmaceuticalsForeign Corrupt Practices Act2009$9,030,149
Golden State Equity Investors, Inc. investor protection violation2009$1,577,579
Tri Energy, Inc. fraud2009$37,048,466
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009$3,000,000
Merrill Lynch, Pierce, Fenner & Smith Inc.Bank of Americafinancial servicesinvestor protection violation2009$7,000,000
M.A.G. Capital LLC investor protection violation2009$100,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
Merrill Lynch, Pierce, Fenner & Smith, Inc.Bank of Americafinancial servicesinvestor protection violation2009$1,000,000
Equity Services, Inc. investor protection violation2009$300,000
Simpson Capital Management, Inc. investor protection violation2009$6,650,000
Merriman Curhan Ford & Co. investor protection violation2009$100,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.