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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
Huron Consulting Group Inc.Huron Consulting Groupmiscellaneous servicesaccounting fraud or deficiencies2012$1,000,000
FalconStor Software, Inc. investor protection violation2012$2,900,000
AMMB Consultant Sendirian Berhad investor protection violation2012$1,550,000
New Futures Trading International Corporation investor protection violation2012$1,433,889
Global Development & Environmental Resources, Inc. investor protection violation2012$2,645,798
Martin Currie investor protection violation2012$8,300,000
Flatiron Capital Partners, LLC and Flatiron Systems, LLC investor protection violation2012$1,817,277
Pentagon Capital Management investor protection violation2012$98,600,000
United American Ventures, LLC investor protection violation2012$9,079,372
Diamondback Capital Management LLC investor protection violation2012$9,000,000
New America High Income Fund, Inc. investor protection violation2012$413,399
New England Investment and Retirement Group, Inc. investor protection violation2012$200,000
Aladdin Capital Management LLC investor protection violation2012$1,618,831
Edelweiss Financial Services Limited investor protection violation2012$568,347
JM Financial Institutional Securities Private Limited investor protection violation2012$443,545
Motilal Oswal Securities Limited investor protection violation2012$821,594
Ambit Capital Pvt. Ltd. investor protection violation2012$30,910
EM Capital Management, LLC? investor protection violation2012$20,000
BTS Asset Management, Inc. investor protection violation2012$200,000
Tilden Loucks & Woodnorth and LLC, Lasalle St. Securities, LLC investor protection violation2012$200,000
JCSD Capital, LLC investor protection violation2012$94,222
Prescient Capital Partners, Ltd. investor protection violation2012$29,968
Stock Markets Institute, Inc. investor protection violation2012$75,000
Western Pacific Capital Management, LLC investor protection violation2012$781,940
JP Turner & Company, LLC investor protection violation2012$416,051
Consultiva Internacional, Inc. investor protection violation2012$35,000
Wesley Capital Management, LLC investor protection violation2012$232,289
Delaware Asset Advisers investor protection violation2012$4,814,520
Centaur Management Co. LLC investor protection violation2012$364,322
Calhoun Asset Management, LLC investor protection violation2012$50,000
Harbinger Capital Partners, LLC investor protection violation2012$1,378,763
Sharespost, Inc. investor protection violation2012$80,000
EB Financial Group, LLC investor protection violation2012$310,499
Mercury Capital investor protection violation2012$45,747
1st Discount Brokerage, Inc. investor protection violation2012$40,000
AXA Advisors, LLCEquitable Holdingsfinancial servicesinvestor protection violation2012$100,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013$131,800,000
Fifth Third BancorpFifth Third Bancorpfinancial servicesaccounting fraud or deficiencies2013$6,500,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013$153,700,000
JPMorgan & Co.JPMorgan Chasefinancial servicesaccounting fraud or deficiencies2013$200,000,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013$50,000,000
Capital One Financial CorporationCapital One Financialfinancial servicesaccounting fraud or deficiencies2013$3,500,000
Archer-Daniels-Midland CompanyArcher Daniels MidlandagribusinessForeign Corrupt Practices Act2013$36,000,000
Weatherford International LimitedWeatherford Internationaloilfield services and suppliesForeign Corrupt Practices Act2013$65,600,000
Stryker CorporationStrykermedical equipment and suppliesForeign Corrupt Practices Act2013$13,200,000
Diebold Inc.Diebold Nixdorfmiscellaneous manufacturingForeign Corrupt Practices Act2013$22,900,000
Total, S.A.TotalEnergies SEoil and gasForeign Corrupt Practices Act2013$153,000,000
Ralph Lauren CorporationRalph Lauren Corp.apparelForeign Corrupt Practices Act2013$734,846
Parker Drilling CompanyParker Drillingoil and gasForeign Corrupt Practices Act2013$4,090,818
Philips ElectronicsRoyal PhilipsdiversifiedForeign Corrupt Practices Act2013$4,515,178
Instinet LLC investor protection violation2013$813,280
ConvergEx GroupToronto-Dominion Bankfinancial servicesinvestor protection violation2013$107,424,429
GLG Partners L.P. accounting fraud or deficiencies2013$8,954,346
Sherb & Co. LLP accounting fraud or deficiencies2013$75,000
Greater Wenatchee Regional Events Center Public Facilities District investor protection violation2013$20,000
Milan Group Inc. investor protection violation2013$4,141,148
Further Lane Asset Management investor protection violation2013$150,000
Knelman Asset Management Group investor protection violation2013$60,000
GW & Wade investor protection violation2013$250,000
Modern Portfolio Management Inc. investor protection violation2013$175,000
Equitas Capital Advisers LLC investor protection violation2013$225,000
ChinaMedia Express Holdings investor protection violation2013$41,144,082
Petro-Suisse Ltd. investor protection violation2013$8,370,000
Patrizio & Zhao LLC accounting fraud or deficiencies2013$30,000
Universal Travel Group accounting fraud or deficiencies2013$750,000
TD BankToronto-Dominion Bankfinancial servicesinvestor protection violation2013$15,000,000
Medifast Inc.Medifast Inc.miscellaneous servicesaccounting fraud or deficiencies2013$200,000
Blackthorn Investment Group investor protection violation2013$520,207
Claritas Investments Ltd.Principal Financialfinancial servicesinvestor protection violation2013$144,819
Credentia Group investor protection violation2013$69,204
D.E. Shaw & Co. investor protection violation2013$667,492
Deerfield Management Company investor protection violation2013$1,902,224
Hudson Bay Capital Management investor protection violation2013$949,453
JGP Global Gestao de Recursos investor protection violation2013$3,180,424
M.S. Junior and Swiss Capital Holdings investor protection violation2013$427,936
Manikay Partners investor protection violation2013$2,551,791
Meru Capital Group investor protection violation2013$398,512
Merus Capital Partners investor protection violation2013$73,465
Ontario Teachers' Pension Plan Board investor protection violation2013$224,835
Pan Capital AB investor protection violation2013$662,497
PEAK6 Capital Management investor protection violation2013$132,217
Philadelphia Financial Management of San Francisco investor protection violation2013$219,443
Polo Capital International Gestao de Recursos a/k/a Polo Capital Management investor protection violation2013$282,720
Soundpost Partners investor protection violation2013$113,315
Southpoint Capital Advisors investor protection violation2013$534,757
Talkot Capital investor protection violation2013$84,537
Vollero Beach Capital Partners investor protection violation2013$864,427
War Chest Capital Partners investor protection violation2013$327,569
Western Standard investor protection violation2013$111,807
City Securities Corporation investor protection violation2013$580,000
Fuqi International Inc. accounting fraud or deficiencies2013$1,000,000
RevlonMacAndrews & Forbesdiversifiedinvestor protection violation2013$850,000
Chicago Board Options ExchangeCBOE Holdingsfinancial servicesinvestor protection violation2013$6,000,000
China Natural Gas Inc. accounting fraud or deficiencies2013$815,000
PACCARPaccarmotor vehiclesaccounting fraud or deficiencies2013$225,000
MedLink International Inc. accounting fraud or deficiencies2013$8,084,515
Level Global Investors LP investor protection violation2013$21,514,274
Capital Solutions Distributors, LLC and Capital Solutions Management, LP accounting fraud or deficiencies2013$4,997,077
211 Ventures LLC investor protection violation2013$2,300,000
Sigma Capital Management investor protection violation2013$13,944,000
CR Intrinsic Investors investor protection violation2013$601,747,463
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.