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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 TypeYearPenalty Amount sort icon
Voya Financial Advisors, Inc.Voya Financialfinancial servicesinvestor protection violation2017$3,095,953
Vero Capital Management LLC accounting fraud or deficiencies2015$3,068,706
Cadaret and Grant & Co., Inc. investor protection violation2017$3,048,000
SIG Specialists, Inc. investor protection violation2004$3,033,589
Vitesse Semiconductor Corp.Microchip Technology Inc.electrical and electronic equipmentaccounting fraud or deficiencies2010$3,000,000
Investools Inc. fraud2009$3,000,000
Take-Two Interactive Software, Inc.Take-Two Interactive Software Inc.entertainmentaccounting fraud or deficiencies2009$3,000,000
Analog Devices, Inc.Analog Devices Inc.electrical and electronic equipmentaccounting fraud or deficiencies2008$3,000,000
Dynegy Inc.Vistra Energyutilities and power generationaccounting fraud or deficiencies2002$3,000,000
MagnaChip Semiconductor Corporation accounting fraud or deficiencies2017$3,000,000
Agria Corporation accounting fraud or deficiencies2018$3,000,000
Prosper Funding LLC accounting fraud or deficiencies2019$3,000,000
Blackbaud Inc.Blackbaudinformation technologyinvestor protection violation2023$3,000,000
GlennCap LLC investor protection violation2023$3,000,000
Akzo Nobel N.V.Carlyle Groupprivate equity (including portfolio companies)Foreign Corrupt Practices Act2007$2,981,513
MKJJ Consulting LLC investor protection violation2017$2,973,916
Deutsche Bank Securities Inc.Deutsche Bankfinancial servicesinvestor protection violation2019$2,971,462
Citigroup Global MarketsCitigroupfinancial servicesinvestor protection violation2017$2,963,735
Morgan Stanley Smith BarneyMorgan Stanleyfinancial servicesinvestor protection violation2017$2,963,735
Renn Capital Group, Inc. investor protection violation2005$2,961,362
Watts Water Technologies Inc.Watts Water Technologies Inc.miscellaneous manufacturingForeign Corrupt Practices Act2011$2,955,815
Yucaipa Master Manager, LLC investor protection violation2018$2,934,312
Ernst & Young LLPErnst & Youngbusiness servicesinvestor protection violation2008$2,918,987
FalconStor Software, Inc. investor protection violation2012$2,900,000
Citigroup Global Markets Inc.Citigroupfinancial servicesinvestor protection violation2023$2,900,000
Equitystar Capital Management, LLC investor protection violation2018$2,890,518
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013$2,886,677
California Financial Services, Inc., Internet Telecommunications Albany System SMR, Internet Telecommunications Reno System SMR and Internet Telecommu fraud2000$2,876,405
Fiduciary Asset Management LLC investor protection violation2012$2,859,858
Lazard Capital Markets LLC investor protection violation2008$2,847,008
Maxwell Technologies, Inc.Tesla Inc.motor vehiclesaccounting fraud or deficiencies2018$2,800,000
Charles Schwab & Co., Inc.Charles Schwab Corp.financial servicesinvestor protection violation2018$2,800,000
Hydrogen Technology Corporation investor protection violation2023$2,796,234
Diagnostic Products Corporation Foreign Corrupt Practices Act2005$2,788,622
GLR Advisers LLC accounting fraud or deficiencies2015$2,772,475
Rockwell Automation Inc.Rockwell Automationindustrial equipmentForeign Corrupt Practices Act2011$2,761,091
St. Joe CompanySt. Joe Companyreal estateaccounting fraud or deficiencies2015$2,750,000
Convergex Execution Solutions LLCToronto-Dominion Bankfinancial servicesdata submission deficiencies2018$2,750,000
Neovest Inc. investor protection violation2021$2,750,000
KPMG AustraliaKPMGbusiness servicesaccounting fraud or deficiencies2011$2,742,000
NB Alternatives Advisers LLC investor protection violation2018$2,733,608
GLG Partners, LP investor protection violation2007$2,703,635
Stifel, Nicolaus & Co., Inc.Stifel Financialfinancial servicesinvestor protection violation2019$2,700,000
TeamVinh.com LLC investor protection violation2017$2,681,072
Carlson Capital, L.P. investor protection violation2010$2,653,234
Global Development & Environmental Resources, Inc. investor protection violation2012$2,645,798
Blackstreet Capital Management, LLC investor protection violation2016$2,622,737
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
National Investment Enterprises, Inc. fraud2004$2,602,490
Raymond James Financial Services, Inc.Raymond James Financialfinancial servicesinvestor protection violation2004$2,595,129
Premiere Power LLC investor protection violation2015$2,587,523
Manikay Partners investor protection violation2013$2,551,791
Sigma Planning Corp. investor protection violation2019$2,546,718
Hold Brothers On-Line Investment Services investor protection violation2012$2,535,000
Aegis Capital Corp. investor protection violation2022$2,520,865
E*TRADE SecuritiesMorgan Stanleyfinancial servicesinvestor protection violation2014$2,500,000
ScottradeCharles Schwab Corp.financial servicesdata submission deficiencies2014$2,500,000
Monster Worldwide, Inc.Randstadbusiness servicesaccounting fraud or deficiencies2009$2,500,000
TALX CorporationEquifaxmiscellaneous servicesaccounting fraud or deficiencies2005$2,500,000
Lehman Brothers, Inc. investor protection violation2003$2,500,000
Morgan Stanley & Co. IncorporatedMorgan Stanleyfinancial servicesinvestor protection violation2000$2,500,000
RBC Capital Markets LLCRoyal Bank of Canadafinancial servicesinvestor protection violation2016$2,500,000
FMC TechnologiesTechnipFMCoilfield services and suppliesaccounting fraud or deficiencies2016$2,500,000
Louis Capital Markets, LP investor protection violation2017$2,500,000
Credit Suisse Alternative Capital, LLC and Credit Suisse Asset Management, LLCUBSfinancial servicesinvestor protection violation2011$2,500,000
KBR Inc.KBRconstruction and engineeringaccounting fraud or deficiencies2018$2,500,000
Centrais Eletricas Brasileiras S.A.? Foreign Corrupt Practices Act2018$2,500,000
Precigen, Inc.Precigenagribusinessinvestor protection violation2020$2,500,000
S&P Global RatingsS&P Globalinformation technologyinvestor protection violation2022$2,500,000
Elegance Brands et al. investor protection violation2022$2,500,000
BHP Capital NY, Inc. investor protection violation2023$2,500,000
Perella Weinberg Partners LP investor protection violation2023$2,500,000
BlackRock Advisors, LLCBlackRockfinancial servicesinvestor protection violation2023$2,500,000
IBC Funds, LLC investor protection violation2016$2,482,850
Rothschild Investment Corporation investor protection violation2021$2,471,667
National Financial Services LLC investor protection violation2020$2,461,193
Gartner, Inc.Gartnerinformation technologyForeign Corrupt Practices Act2023$2,456,764
Wedbush SecuritiesWedbush Securitiesfinancial servicesinvestor protection violation2014$2,440,000
Platforms Wireless International Corp. investor protection violation2007$2,431,213
Choice Equity investor protection violation2018$2,430,850
Bruker CorporationBrukermiscellaneous manufacturingForeign Corrupt Practices Act2014$2,400,000
PricewaterhouseCoopers LLPPricewaterhouseCoopersbusiness servicesaccounting fraud or deficiencies2004$2,400,000
United AirlinesUnited Airlines Holdingsairlinesaccounting fraud or deficiencies2016$2,400,000
Bill Few Associates Inc. investor protection violation2019$2,398,304
TIAA-CREF Individual & Institutional Services, LLCTIAAfinancial servicesinvestor protection violation2019$2,395,722
Insight Venture Management LLC investor protection violation2023$2,364,958
Hancock Whitney Investment Services, Inc. investor protection violation2020$2,337,792
Legg Mason Wood Walker, Inc.Franklin Resourcesfinancial servicesinvestor protection violation2004$2,315,467
Lincolnshire Management investor protection violation2014$2,300,000
211 Ventures LLC investor protection violation2013$2,300,000
WL Ross & Co. LLCInvescofinancial servicesinvestor protection violation2016$2,300,000
Clean Energy Capital, LLC investor protection violation2014$2,246,030
Linsco/Private Ledger Corp. investor protection violation2004$2,232,805
Cemtrex, Inc. investor protection violation2022$2,200,000
TIAA-CREF Individual & Institutional Services LLCTIAAfinancial servicesinvestor protection violation2024$2,200,000
Strong Capital Management, Inc.Wells Fargofinancial servicesinvestor protection violation2006$2,185,927
Winning Kids Inc. investor protection violation2010$2,183,964
Paradigm Capital Management, Inc. investor protection violation2014$2,181,771
Chronos Asset Management, Inc. investor protection violation2008$2,176,915
Performance Specialist Group LLC investor protection violation2004$2,171,932
Heartland Payment Systems, LLCGlobal Payments Inc.financial servicesinvestor protection violation2018$2,160,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.