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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 Type sort iconYearPenalty Amount
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.Citigroupfinancial servicesinvestor protection violation2003$400,000,000
Credit Suisse First Boston LLCUBSfinancial servicesinvestor protection violation2003$200,000,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2003$110,000,000
J.P. Morgan Securities Inc.JPMorgan Chasefinancial servicesinvestor protection violation2003$80,000,000
Lehman Brothers Inc. investor protection violation2003$80,000,000
Merrill Lynch, Pierce, Fenner & Smith, IncorporatedBank of Americafinancial servicesinvestor protection violation2003$200,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2003$125,000,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesinvestor protection violation2003$32,500,000
UBS Warburg LLCUBSfinancial servicesinvestor protection violation2003$80,000,000
North American Medical Products, Inc. investor protection violation2003$120,000
TrendsGroup International, Inc. investor protection violation2003$445,691
Rhino Advisors Inc. investor protection violation2003$1,000,000
Africa Gemstone Corporation investor protection violation2003$242,840
Robertson Stephens Inc. investor protection violation2003$33,000,000
Siebel Systems, Inc.Oracleinformation technologyinvestor protection violation2002$250,000
Emsanet Internet Services, Inc. and Peter Restivo Inc. d/b/a U.S. Funding investor protection violation2002$4,460,634
Anamar Communications, Inc. investor protection violation2002$136,917
Basic Capital Management, Inc. investor protection violation2002$850,000
Texon Energy Corp. and Lonestar Petroleum Corp. investor protection violation2002$1,268,253
W.J. Nolan & Co., Inc. investor protection violation2002$192,028
Advance Local Development Corp. investor protection violation2002$9,509,736
Commercial Express, LLC and Progressive Financial, Inc. investor protection violation2002$23,032,869
Big Country AGS, Inc. d/b/a AGS, Inc. investor protection violation2002$242,840
iCapital Markets LLC investor protection violation2002$6,300,000
Credit Suisse First Boston CorporationUBSfinancial servicesinvestor protection violation2002$100,000,000
TLC Investments & Trade Co. investor protection violation2001$106,600,000
Commonwealth Communications Group investor protection violation2001$716,516
21st Century Satellite Communications, Inc. investor protection violation2001$6,110,736
Shreveport Wireless Cable Television Partnership, Complete Communications Corporation, Champion Communications Corporation, B.R. Cable Communications investor protection violation2001$41,727,403
Milan Capital Group, Inc. and Investment Offices d/b/a AC Financial, Inc. investor protection violation2001$9,395,066
World Financial & Investment Co., Inc. investor protection violation2001$175,000
The Globus Group investor protection violation2001$300,000
TPG CapitalTPG Capitalprivate equity (including portfolio companies)investor protection violation2001$50,000
Pacific Air Transport investor protection violation2001$1,364,692
WinterHawk West Indies, Ltd., Funders Marketing Company, Inc., FMCI Trust, Fortune Investments, Ltd., and TREDS Financial Trust investor protection violation2001$18,864,116
One Touch Marketing, Inc. investor protection violation2001$118,387
Sunset Investment Group, Inc. investor protection violation2001$70,000
Future Strategies Srl a/k/a Future Strategies International investor protection violation2001$1,500,073
Yes Entertainment, LLC investor protection violation2000$14,546,808
First Paragon, Inc. investor protection violation2000$1,040,000
EquityAlert.com, Inc. investor protection violation2000$20,000
Chemical Trust, U.S. Guarantee Corp., and United Marketing Trust investor protection violation2000$20,590,000
JW Charles Financial Services, Inc. investor protection violation2000$20,000
Millennium Software Solutions, Inc. investor protection violation2000$760,450
New Concepts, L.L.C. investor protection violation2000$20,000
Liberty Capital Group, Inc. investor protection violation2000$35,000
Assured International, Inc. and Sharp Financial Corp. investor protection violation2000$1,407,217
Dain Rauscher IncorporatedRoyal Bank of Canadafinancial servicesinvestor protection violation2000$12,941,191
Goldman, Sachs & Co.Goldman Sachsfinancial servicesinvestor protection violation2000$5,200,000
Lehman Brothers Inc. investor protection violation2000$4,950,000
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBank of Americafinancial servicesinvestor protection violation2000$5,000,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000$2,500,000
PaineWebber IncorporatedUBSfinancial servicesinvestor protection violation2000$26,200,000
Prudential Securities IncorporatedWells Fargofinancial servicesinvestor protection violation2000$5,880,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesinvestor protection violation2000$45,000,000
Warburg Dillon Read LLCUBSfinancial servicesinvestor protection violation2000$6,680,000
William R. Hough & Co. investor protection violation2000$3,264,000
Prime Atlantic, Inc. investor protection violation2000$12,682,820
DynamicDaytrader.com investor protection violation2000$55,107
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016$2,500,000
Raymond James & AssociatesRaymond James Financialfinancial servicesinvestor protection violation2016$600,000
Robert W. Baird & Co. investor protection violation2016$250,000
BOK Financial CorporationBOK Financialfinancial servicesinvestor protection violation2016$1,667,720
Merrill LynchBank of Americafinancial servicesinvestor protection violation2016$12,500,000
UBS Financial ServicesUBSfinancial servicesinvestor protection violation2016$15,025,882
Deutsche Bank SecuritiesDeutsche Bankfinancial servicesinvestor protection violation2016$9,500,000
Forcerank LLC investor protection violation2016$50,000
Artis Capital Management investor protection violation2016$8,878,015
Bank LeumiBank Leumifinancial servicesinvestor protection violation2016$1,600,000
EZTD Inc. investor protection violation2016$1,700,000
Pacific Investment Management Company (PIMCO) investor protection violation2016$19,829,807
Equidate Inc. investor protection violation2016$80,000
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2016$24,500,000
Deutsche BankDeutsche Bankfinancial servicesinvestor protection violation2016$18,500,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Morgan Stanley & Co. LLCMorgan Stanleyfinancial servicesinvestor protection violation2016$7,500,000
Adams Capital Management investor protection violation2017$45,000
Aisling Capital investor protection violation2017$70,456
Allergan Inc.AbbViepharmaceuticalsinvestor protection violation2017$15,000,000
Alta Communications investor protection violation2017$35,000
Commonwealth Venture Management Corporation investor protection violation2017$75,000
Cypress Advisors investor protection violation2017$35,000
FFL Partners investor protection violation2017$75,000
Lime Rock Management investor protection violation2017$75,000
NGN Capital investor protection violation2017$100,000
Pershing Square Capital Management investor protection violation2017$75,000
The Banc Funds Company investor protection violation2017$75,000
Citadel Securities LLC investor protection violation2017$22,600,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$13,000,000
BNY MellonBank of New York Mellonfinancial servicesinvestor protection violation2017$6,600,000
ITG investor protection violation2017$24,400,000
Port Authority of New York and New Jersey investor protection violation2017$400,000
Interinvest Corporation investor protection violation2016$6,900,000
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$2,963,735
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$18,300,000
AMG Energy, LLC and R. Thomas?& Co., LLC investor protection violation2017$150,000
Arcturus Corporation and Aschere Energy LLC investor protection violation2017$15,500,000
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$8,000,000
Sidoti & Company LLC investor protection violation2017$100,000
Oxford City Football Club, Inc. investor protection violation2017$6,853,358
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.