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Violation Tracker Agency Summary Page

Agency Name: Securities and Exchange Commission
Penalty Total since 2000: $38,056,719,523
Number of Records: 2,785
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 Type sort iconYearPenalty Amount
Monolith Resources LLC workplace whistleblower retaliation2023$225,000
Standard & Poor's Ratings ServicesS&P Globalinformation technologytoxic securities abuses2015$58,000,000
Morgan StanleyMorgan Stanleyfinancial servicestoxic securities abuses2014$275,000,000
Merrill LynchBank of Americafinancial servicestoxic securities abuses2013$131,800,000
RBS Securities Inc.NatWest Group PLCfinancial servicestoxic securities abuses2013$153,700,000
UBS SecuritiesUBSfinancial servicestoxic securities abuses2013$50,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicestoxic securities abuses2012$296,900,000
Credit Suisse Securities (USA)UBSfinancial servicestoxic securities abuses2012$120,000,000
Wells FargoWells Fargofinancial servicestoxic securities abuses2012$6,500,000
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
CitigroupCitigroupfinancial servicestoxic securities abuses2011$285,000,000
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
Citigroup Inc.Citigroupfinancial servicestoxic securities abuses2010$75,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicestoxic securities abuses2010$550,000,000
UBS AGUBSfinancial servicestax violations2009$200,000,000
TMC Bonds LLC privacy violation2019$2,100,000
Pearson plcPearsoninformation technologyprivacy violation2021$1,000,000
First American Financial CorporationFirst American Financialfinancial servicesprivacy violation2021$487,616
Banc of America Securities LLCBank of Americafinancial servicesprice-fixing or anti-competitive practices2010$36,096,442
Quadrangle Group LLC kickbacks and bribery2010$5,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial serviceskickbacks and bribery2009$75,000,000
Fidelity InvestmentsFidelity Investmentsfinancial serviceskickbacks and bribery2008$8,000,000
Jefferies & Co., Inc.Jefferies Financial Groupdiversifiedkickbacks and bribery2006$4,200,000
AstraZeneca PLCAstraZenecapharmaceuticalskickbacks and bribery2016$5,522,000
GlaxoSmithKline plcGlaxoSmithKlinepharmaceuticalskickbacks and bribery2016$20,000,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2016$35,000,000
Credit Suisse Securities (USA) LLCUBSfinancial servicesinvestor protection violation2016$54,300,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2016$15,000,000
J.P. Morgan Securities LLCJPMorgan Chasefinancial servicesinvestor protection violation2016$4,000,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2015$8,800,000
J.P. Morgan Securities LLC and JPMorgan Chase Bank N.A.JPMorgan Chasefinancial servicesinvestor protection violation2015$267,000,000
ICBC Standard Bank PlcIndustrial and Commercial Bank of Chinafinancial servicesinvestor protection violation2015$4,200,000
UBS Willow Management LLC and UBS Fund Advisor LLCUBSfinancial servicesinvestor protection violation2015$17,500,000
UBS AGUBSfinancial servicesinvestor protection violation2015$19,500,000
Blackstone GroupBlackstoneprivate equity (including portfolio companies)investor protection violation2015$39,000,000
UBS Financial Services Inc. of Puerto RicoUBSfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2015$15,000,000
Citigroup Global Markets Inc. and Citigroup Alternative Investments LLCCitigroupfinancial servicesinvestor protection violation2015$180,000,000
Edward D. Jones & Co. LPJones Financialfinancial servicesinvestor protection violation2015$20,000,000
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2015$7,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.private equity (including portfolio companies)investor protection violation2015$30,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2015$10,900,000
Deutsche Bank AGDeutsche Bankfinancial servicesinvestor protection violation2015$55,000,000
BlackRock Advisors LLCBlackRockfinancial servicesinvestor protection violation2015$12,000,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2015$14,400,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2014$4,000,000
HSBC Private Bank (Suisse)HSBCfinancial servicesinvestor protection violation2014$12,500,000
Bank of America CorporationBank of Americafinancial servicesinvestor protection violation2014$7,650,000
Barclays Capital Inc.Barclaysfinancial servicesinvestor protection violation2014$15,000,000
Wells Fargo Advisors LLCWells Fargofinancial servicesinvestor protection violation2014$5,000,000
Jefferies LLCJefferies Financial Groupdiversifiedinvestor protection violation2014$25,000,000
Credit Suisse Group AGUBSfinancial servicesinvestor protection violation2014$196,000,000
Massachusetts Mutual Life Insurance CompanyMassachusetts Mutual Life Insurancefinancial servicesinvestor protection violation2012$1,625,000
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
Goldman Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2012$22,000,000
UBS Global Asset ManagementUBSfinancial servicesinvestor protection violation2012$300,000
Morgan Stanley Investment ManagementMorgan Stanleyfinancial servicesinvestor protection violation2011$3,300,000
UBS Securities LLCUBSfinancial servicesinvestor protection violation2011$8,000,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2011$30,400,000
Janney Montgomery Scott LLCPenn Mutualfinancial servicesinvestor protection violation2011$850,000
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
Bank of AmericaBank of Americafinancial servicesinvestor protection violation2010$150,000,000
BlueLinx Holdings Inc.BlueLinx Holdingswholesalersinvestor protection violation2016$265,000
Luca International Group, LLC investor protection violation2016$68,300,000
State Street Bank and Trust CompanyState Street Corp.financial servicesinvestor protection violation2016$382,400,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$10,000,000
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$415,000,000
Ethiopian Electric Power investor protection violation2016$6,448,854
Morgan Stanley Smith Barney LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$1,000,000
First Mortgage Corporation investor protection violation2016$12,700,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016$7,500,000
AVEO Pharmaceuticals Inc.LGdiversifiedinvestor protection violation2016$4,000,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersprivate equity (including portfolio companies)investor protection violation2016$9,500,000
Uni-Pixel Inc. investor protection violation2016$750,000
Westlands Water District investor protection violation2016$125,000
Marwood Group Research LLC investor protection violation2015$375,000
Sands Brothers Asset Management LLC investor protection violation2015$1,000,000
Fenway Partners LLC investor protection violation2015$8,716,471
DBRS Inc. investor protection violation2015$5,814,482
Premiere Power LLC investor protection violation2015$2,587,523
Auriga Global Investors, Sociedad de Valores, S.A. investor protection violation2015$618,401
Harvest Capital Strategies LLC investor protection violation2015$84,454
J.P. Morgan Investment Management Inc.JPMorgan Chasefinancial servicesinvestor protection violation2015$1,084,210
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015$134,026
Sabby Management LLC investor protection violation2015$278,747
War Chest Capital Partners LLC investor protection violation2015$351,818
Wolverine Trading LLC and Wolverine Asset Management LLC investor protection violation2015$1,153,303
Briargate Trading LLP investor protection violation2015$912,842
Spencer Pharmaceutical Inc. investor protection violation2015$1,000,000
Focus Media Holding Limited investor protection violation2015$55,600,000
First Eagle Investment Management and FEF Distributors investor protection violation2015$39,748,260
8000 Inc. investor protection violation2015$6,500,000
Taberna Capital Management investor protection violation2015$21,500,000
EnviraTrends, Inc. investor protection violation2015$150,000
Colonial Tidewater Realty Income Partners investor protection violation2015$1,319,386
ITG Inc. investor protection violation2015$20,300,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.