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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
Merriman Curhan Ford & Co. investor protection violation2009$100,000
Rhino Trading, LLC and Fat Squirrel Trading Group, LLC investor protection violation2009$395,000
Banc of America Investment Services, Inc.Bank of Americafinancial servicesinvestor protection violation2009$150,000
Perceptive Advisors LLC investor protection violation2009$439,755
First New York Securities L.L.C. investor protection violation2009$69,008
GLB Trading, Inc. investor protection violation2009$220,670
Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network investor protection violation2009$100,000
United Global Securities, Inc. investor protection violation2009$25,000
Lightspeed Trading LLC investor protection violation2009$77,260
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2009$50,000
Merchant Capital, L.L.C. investor protection violation2009$55,000
United Industrial Corporation investor protection violation2009$337,679
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
Wolfe & Hurst Bond Brokers, Inc investor protection violation2009$25,000
Ingram Micro Inc.Platinum Equityprivate equity (including portfolio companies)investor protection violation2009$15,000,000
INTECH Investment Management LLC investor protection violation2009$300,000
Royal Alliance Associates, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$500,001
Hennessee Group LLC investor protection violation2009$814,644
American Skandia Investment Services, Inc.Prudential Financialfinancial servicesinvestor protection violation2009$68,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2009$65,000
Cornerstone Capital Management, Inc.? investor protection violation2009$335,758
TD Options LLCToronto-Dominion Bankfinancial servicesinvestor protection violation2009$1,000,000
Susquehanna Investment Group investor protection violation2009$7,640,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCGoldman Sachsfinancial servicesinvestor protection violation2009$7,200,000
Knight Financial Products, LLCVirtu Financialfinancial servicesinvestor protection violation2009$2,040,000
Group One Trading, L.P. investor protection violation2009$1,800,000
Equitec Proprietary Markets, LLC investor protection violation2009$2,080,000
Botta Capital Management, L.L.C. investor protection violation2009$825,000
RBC Capital Markets CorporationRoyal Bank of Canadafinancial servicesinvestor protection violation2009$125,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Diamondback Capital Management, LLC investor protection violation2009$162,175
SG Americas Securities, LLCSociete Generalefinancial servicesinvestor protection violation2009$8,384,932
Ferris, Baker Watts, Inc.Royal Bank of Canadafinancial servicesinvestor protection violation2009$800,656
Gabelli Funds, LLCGamco Investors Inc.financial servicesinvestor protection violation2009$450,000
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010$150,000,000
Alcatel-Lucent S.A.NokiatelecommunicationsForeign Corrupt Practices Act2010$45,000,000
RAE Systems Inc.Honeywell InternationaldiversifiedForeign Corrupt Practices Act2010$1,250,000
Panalpina, Inc.DSVfreight and logisticsForeign Corrupt Practices Act2010$11,329,369
Pride International Inc.Valarisoilfield services and suppliesForeign Corrupt Practices Act2010$23,529,718
Tidewater Inc.Tidewater Inc.miscellaneous servicesForeign Corrupt Practices Act2010$8,321,362
Transocean Inc.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$7,265,080
GlobalSantaFe Corp.Transoceanoilfield services and suppliesForeign Corrupt Practices Act2010$5,858,165
Noble CorporationNoble Corp.oilfield services and suppliesForeign Corrupt Practices Act2010$5,576,998
Royal Dutch ShellShell PLCoil and gasForeign Corrupt Practices Act2010$18,149,459
ABB Ltd.ABB Ltd.utilities and power generationForeign Corrupt Practices Act2010$39,300,000
Universal Corporation Inc.Universal CorporationtobaccoForeign Corrupt Practices Act2010$4,500,000
Alliance One International Inc.Pyxus InternationaltobaccoForeign Corrupt Practices Act2010$10,000,000
General ElectricGeneral ElectricdiversifiedForeign Corrupt Practices Act2010$23,400,000
ENI S.p.A. and Snamprogetti Netherlands B.V.ENIoil and gasForeign Corrupt Practices Act2010$125,000,000
Veraz Networks Inc. Foreign Corrupt Practices Act2010$300,000
Technip S.A.TechnipFMCoilfield services and suppliesForeign Corrupt Practices Act2010$98,000,000
Daimler AGMercedes-Benz Groupmotor vehiclesForeign Corrupt Practices Act2010$91,400,000
Innospec Inc.InnospecchemicalsForeign Corrupt Practices Act2010$11,200,000
NATCO Group Inc.Schlumbergeroilfield services and suppliesForeign Corrupt Practices Act2010$65,000
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010$3,000,000
BroCo Investments, Inc. accounting fraud or deficiencies2010$627,633
Winning Kids Inc. investor protection violation2010$2,183,964
Berkshire Resources, L.L.C. investor protection violation2010$16,255,846
Prime Time Group Inc. investor protection violation2010$325,000
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010$1,000,000
Regions BankRegions Financialfinancial servicesinvestor protection violation2010$1,000,001
U.S. Pension Trust Corp. and U.S. College Trust Corp.U.S. Pension Trust Corp.financial servicesinvestor protection violation2010$112,600,000
ASMAC Financial, Inc. investor protection violation2010$133,995
K&L International Enterprises, Inc., Signature Leisure, Inc., and Signature Worldwide Advisors, LLC investor protection violation2010$12,574,582
Thompson Consulting Inc. investor protection violation2010$400,000
Dell Inc.Dell Technologieselectrical and electronic equipmentaccounting fraud or deficiencies2010$100,000,000
Diebold, Inc.Diebold Nixdorfmiscellaneous manufacturingaccounting fraud or deficiencies2010$25,000,000
Pequot Capital Management, Inc. investor protection violation2010$28,000,000
CFO-5 LLC investor protection violation2010$3,197,222
Quadrangle Group LLC kickbacks and bribery2010$5,000,000
Presstek Inc. investor protection violation2010$400,000
First Allied Securities, Inc. investor protection violation2010$1,950,000
Wealth Management LLC investor protection violation2010$1,471,002
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2010$313,300,000
AGB Partners LLC investor protection violation2010$50,000
Palmyra Capital Advisors LLC, investor protection violation2010$330,000
Assurant Inc.Assurantfinancial servicesaccounting fraud or deficiencies2010$3,500,000
General Re CorporationBerkshire Hathawaydiversifiedaccounting fraud or deficiencies2010$12,200,000
American Pegasus LDG, LLC and American Pegasus Investment Management, Inc. investor protection violation2010$850,000
Gartmore Investment Limited investor protection violation2010$1,347,251
Banc of America Securities LLCBank of Americafinancial servicesprice-fixing or anti-competitive practices2010$36,096,442
New Castle Funds LLC investor protection violation2010$293,064
World Group Securities, Inc.Aegonfinancial servicesinvestor protection violation2010$200,000
The Buckingham Research Group, Inc. and Buckingham Capital Management investor protection violation2010$125,000
Sands Brothers Asset Management LLC investor protection violation2010$60,000
Ark Asset Management Co., Inc. investor protection violation2010$750,000
Valentine Capital Asset Management, Inc.? investor protection violation2010$432,007
Carlson Capital, L.P. investor protection violation2010$2,653,234
Sierra Financial Advisors, LLC investor protection violation2010$14,599
LACE Financial Corp. investor protection violation2010$20,000
Pinnacle Capital Markets LLC investor protection violation2010$25,000
Spencer International Advisors, Inc. investor protection violation2010$75,000
Appaloosa Management L.P. investor protection violation2010$1,304,523
Goldman Sachs Execution & Clearing, L.P.Goldman Sachsfinancial servicesinvestor protection violation2010$225,000
Haberman Value Fund, L.P. investor protection violation2010$263,443
Southwest Securities, Inc.Hilltop Holdingsfinancial servicesinvestor protection violation2010$470,147
GPS Partners, LLC investor protection violation2010$1,284,171
Prime Capital Services, Inc. investor protection violation2010$144,262
Warrior Fund LLC investor protection violation2010$221,384
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.