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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
Morgan Stanley & Co.Morgan Stanleyfinancial servicesdata submission deficiencies2006$10,000,000
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesdata submission deficiencies2002$1,650,000
Goldman, Sachs & Co.Goldman Sachsfinancial servicesdata submission deficiencies2002$1,650,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
Salomon Smith Barney Inc.Morgan Stanleyfinancial servicesdata submission deficiencies2002$1,650,000
U.S. Bancorp Piper Jaffray Inc.Piper Sandlerfinancial servicesdata submission deficiencies2002$1,650,000
Gardere Wynne Sewell LLP data submission deficiencies2002$1,200,000
COR Clearing LLC data submission deficiencies2018$800,000
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018$2,750,000
Las Vegas Sands Corp.Las Vegas Sands Corp.entertainmentForeign Corrupt Practices Act2016$9,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2016$25,000,000
Nordion Inc. Foreign Corrupt Practices Act2016$375,000
Qualcomm Inc.Qualcommmiscellaneous manufacturingForeign Corrupt Practices Act2016$7,500,000
VimpelCom Ltd.VEONtelecommunicationsForeign Corrupt Practices Act2016$167,500,000
PTC Inc.PTC Inc.information technologyForeign Corrupt Practices Act2016$13,622,000
SciClone PharmaceuticalsSciClone PharmaceuticalspharmaceuticalsForeign Corrupt Practices Act2016$12,000,000
SAP SESAPinformation technologyForeign Corrupt Practices Act2016$3,700,000
Bristol-Myers SquibbBristol-Myers SquibbpharmaceuticalsForeign Corrupt Practices Act2015$14,000,000
Hitachi Ltd.HitachidiversifiedForeign Corrupt Practices Act2015$19,000,000
BNY MellonBank of New York Mellonfinancial servicesForeign Corrupt Practices Act2015$14,800,000
Mead Johnson Nutrition CompanyReckitt Benckiserhousehold and personal care productsForeign Corrupt Practices Act2015$12,000,000
BHP BillitonBHP Groupmining and mineralsForeign Corrupt Practices Act2015$25,000,000
FLIR Systems Inc.Teledyne Technologiesmiscellaneous manufacturingForeign Corrupt Practices Act2015$9,500,000
Goodyear Tire & Rubber Co.Goodyear Tire & Rubberautomotive partsForeign Corrupt Practices Act2015$16,000,000
PBSJ Corporation Foreign Corrupt Practices Act2015$3,400,000
Avon ProductsLGdiversifiedForeign Corrupt Practices Act2014$67,400,000
Bruker CorporationBrukermiscellaneous manufacturingForeign Corrupt Practices Act2014$2,400,000
Bio-Rad Laboratories Inc.Bio-Rad Laboratorieshealthcare servicesForeign Corrupt Practices Act2014$40,700,000
Layne Christensen Company Foreign Corrupt Practices Act2014$5,100,000
Smith & Wesson Holding CorporationSmith & Wessonmiscellaneous manufacturingForeign Corrupt Practices Act2014$2,000,000
Hewlett-PackardHP Inc.electrical and electronic equipmentForeign Corrupt Practices Act2014$31,500,000
Alcoa Inc.AlcoametalsForeign Corrupt Practices Act2014$161,000,000
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
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
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
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
Key Energy Services Inc.Key Energy Servicesoilfield services and suppliesForeign Corrupt Practices Act2016$5,000,000
LAN AirlinesLATAM Airlines GroupairlinesForeign Corrupt Practices Act2016$9,400,000
Johnson ControlsJohnson Controlsautomotive partsForeign Corrupt Practices Act2016$14,362,561
Analogic Corp.Altaris Capital Partnersprivate equity (including portfolio companies)Foreign Corrupt Practices Act2016$11,470,000
Akamai TechnologiesAkamai Technologiesinformation technologyForeign Corrupt Practices Act2016$671,885
Nortek Inc.Madison IndustriesdiversifiedForeign Corrupt Practices Act2016$322,058
UTStarcom, Inc. Foreign Corrupt Practices Act2009$1,500,000
AGCO CorporationAGCO Corp.agribusinessForeign Corrupt Practices Act2009$18,300,000
Nature's Sunshine Products Inc.Nature's Sunshine Productshousehold and personal care productsForeign Corrupt Practices Act2009$600,000
Helmerich & PayneHelmerich & Payneoilfield services and suppliesForeign Corrupt Practices Act2009$375,681
Avery Dennison CorporationAvery Dennisonmiscellaneous manufacturingForeign Corrupt Practices Act2009$518,470
Novo Nordisk A/SNovo Holdings A/SpharmaceuticalsForeign Corrupt Practices Act2009$9,030,149
ITT CorporationITT Inc.industrial equipmentForeign Corrupt Practices Act2009$1,678,650
Kellogg Brown & Root LLCKBRconstruction and engineeringForeign Corrupt Practices Act2009$177,000,000
Fiat S.p.A.Stellantismotor vehiclesForeign Corrupt Practices Act2008$10,809,142
Siemens AGSiemensdiversifiedForeign Corrupt Practices Act2008$350,000,000
Con-way Inc.XPO Logisticsfreight and logisticsForeign Corrupt Practices Act2008$300,000
Faro Technologies, Inc.Faro Technologiesinformation technologyForeign Corrupt Practices Act2008$439,637
Willbros Group, Inc.Primoris Servicesconstruction and engineeringForeign Corrupt Practices Act2008$10,300,000
VolvoVolvomotor vehiclesForeign Corrupt Practices Act2008$12,600,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.