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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
Warrior Fund LLC investor protection violation2010$221,384
Axiom Capital Management, Inc. investor protection violation2010$60,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$8,000,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
Morgan Keegan & CompanyRaymond James Financialfinancial servicestoxic securities abuses2011$200,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2011$153,600,000
Wells Fargo Securities LLCWells Fargofinancial servicestoxic securities abuses2011$11,000,000
TD Ameritrade Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$10,000,000
Charles Schwab Investment Management and Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2011$118,000,000
Magyar Telekom PlcDeutsche TelekomtelecommunicationsForeign Corrupt Practices Act2011$31,200,000
Aon CorporationAonfinancial servicesForeign Corrupt Practices Act2011$14,545,020
Watts Water Technologies Inc.Watts Water Technologies Inc.miscellaneous manufacturingForeign Corrupt Practices Act2011$2,955,815
Diageo PLCDiageobeveragesForeign Corrupt Practices Act2011$16,373,820
Armor Holdings Inc.BAE Systemsaerospace and military contractingForeign Corrupt Practices Act2011$5,700,000
Tenaris S.A.TechintdiversifiedForeign Corrupt Practices Act2011$5,400,000
Rockwell Automation Inc.Rockwell Automationindustrial equipmentForeign Corrupt Practices Act2011$2,761,091
Johnson & JohnsonJohnson & JohnsonpharmaceuticalsForeign Corrupt Practices Act2011$48,600,000
Comverse Technology Inc. Foreign Corrupt Practices Act2011$1,600,000
Ball CorporationBall Corp.paper and packagingForeign Corrupt Practices Act2011$300,000
International Business Machines Corp.IBM Corp.information technologyForeign Corrupt Practices Act2011$10,000,000
Tyson Foods Inc.Tyson Foodsfood productsForeign Corrupt Practices Act2011$5,000,000
Maxwell Technologies Inc.Tesla Inc.motor vehiclesForeign Corrupt Practices Act2011$6,350,890
Drake Asset Management LLC investor protection violation2011$175,000
Banco Espirito Santo S.A. investor protection violation2011$7,000,000
Long Term-Short Term Inc., d/b/a BetterTrades investor protection violation2011$750,000
Wall Street Capital Funding LLC investor protection violation2011$300,000
Locke Capital Management Inc. investor protection violation2011$3,673,996
LaBarge Inc. accounting fraud or deficiencies2011$200,000
Onele Trading & Finance Ltd. investor protection violation2011$5,729,276
Thor Industries Inc.Thor Industriesmotor vehiclesaccounting fraud or deficiencies2011$1,000,000
Satyam Computer Services LimitedTech Mahindramiscellaneous servicesaccounting fraud or deficiencies2011$10,000,000
PricewaterhouseCoopersPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2011$6,000,000
Aerokinetic Energy Corporation investor protection violation2011$859,571
LandOak Securities LLC investor protection violation2011$992,140
Navigators International Management Co., Ltd. investor protection violation2011$45,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011$2,742,000
AXA RosenbergAXAfinancial servicesinvestor protection violation2011$242,000,000
Deerfield Capital Corp. accounting fraud or deficiencies2011$1,277,070
Merrill LynchBank of Americafinancial servicesinvestor protection violation2011$10,000,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011$500,000
Hudson Highland Group accounting fraud or deficiencies2011$200,000
Enzyme Environmental Solutions, Inc. investor protection violation2011$371,135
Investment Placement Group investor protection violation2011$4,072,027
Touradji Capital Management, L.P. investor protection violation2011$1,303,336
Hanes Morgan & Co., Inc investor protection violation2011$100,000
Feltl & Company, Inc. investor protection violation2011$203,172
Asset Advisors, LLC investor protection violation2011$20,000
FTN Financial Securities Corp. investor protection violation2011$1,873,636
Pipeline Trading Systems LLC investor protection violation2011$1,000,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011$2,500,000
Gilford Securities, Incorporated investor protection violation2011$612,113
Global Sentry Equity Transfer, Inc. investor protection violation2011$375,000
Fontana Capital, LLC investor protection violation2011$984,790
Brookside Capital, LLC investor protection violation2011$2,124,079
Level Global Investors, L.P. investor protection violation2011$3,244,171
Pegasus Investment Management, LLC investor protection violation2011$95,469
Wunderlich Securities, Inc. investor protection violation2011$532,624
Legend Securities, Inc. investor protection violation2011$50,000
Aristeia Capital, LLC investor protection violation2011$1,762,776
JSK Associates, Inc. investor protection violation2011$60,000
Securities Transfer Corporation investor protection violation2011$10,000
Envision Capital Management, Ltd. investor protection violation2011$100,000
Alpine Woods Capital Investors, LLC investor protection violation2011$650,000
Horseman Capital Management, L.P.? investor protection violation2011$1,484,952
BNY Mellon Securities LLCBank of New York Mellonfinancial servicesinvestor protection violation2011$24,045,447
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012$296,900,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012$120,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012$1,625,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesillicit political contributions2012$12,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012$6,500,000
Mizuho Financial GroupMizuho Financialfinancial servicesinvestor protection violation2012$127,500,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012$35,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2012$26,600,000
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012$22,000,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012$300,000
Eli Lilly and CompanyEli LillypharmaceuticalsForeign Corrupt Practices Act2012$29,398,734
Allianz SEAllianzfinancial servicesForeign Corrupt Practices Act2012$12,396,423
Tyco International Ltd.Johnson Controlsautomotive partsForeign Corrupt Practices Act2012$13,131,509
Oracle CorporationOracleinformation technologyForeign Corrupt Practices Act2012$2,000,000
Pfizer Inc.PfizerpharmaceuticalsForeign Corrupt Practices Act2012$26,339,944
Wyeth LLCPfizerpharmaceuticalsForeign Corrupt Practices Act2012$18,876,624
Orthofix International N.V.Orthofix Medicalmedical equipment and suppliesForeign Corrupt Practices Act2012$5,200,000
Biomet Inc.Zimmer Biometmedical equipment and suppliesForeign Corrupt Practices Act2012$1,586,032
Smith & Nephew PLCSmith & Nephewmedical equipment and suppliesForeign Corrupt Practices Act2012$5,400,000
Fiduciary Asset Management LLC investor protection violation2012$2,859,858
Deloitte & Touche South AfricaDeloittebusiness servicesaccounting fraud or deficiencies2012$247,043
BPBPoil and gasinvestor protection violation2012$525,000,000
Well Advantage investor protection violation2012$14,245,266
eBX LLC investor protection violation2012$800,000
Hold Brothers On-Line Investment Services investor protection violation2012$2,535,000
Advanced Equities Inc investor protection violation2012$1,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
ICP Asset Management investor protection violation2012$18,275,033
Worldwide Energy and Manufacturing USA Inc. investor protection violation2012$100,000
Focus Point Solutions and The H Group investor protection violation2012$1,100,000
Clay Capital Management LLC investor protection violation2012$850,000
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$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.