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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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Company sort iconCurrent ParentCurrent Parent IndustryPrimary Offense TypeYearPenalty Amount
Option One Mortgage CorporationOcwen Financialfinancial servicestoxic securities abuses2012$28,200,000
OppenheimerFunds Inc.Invescofinancial servicesinvestor protection violation2012$35,000,000
Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLCOppenheimer Holdingsfinancial servicesinvestor protection violation2013$2,886,677
Oppenheimer & Co. Inc. and Oppenheimer Asset Management Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2019$3,528,377
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2015$400,000
Oppenheimer & Co. Inc.Oppenheimer Holdingsfinancial servicesinvestor protection violation2024$12,000,000
Oppenheimer & Co. IncOppenheimer Holdingsfinancial servicesinvestor protection violation2009$850,000
Oppenheimer & Co.Oppenheimer Holdingsfinancial servicesinvestor protection violation2014$61,200
Ophrys, LLC investor protection violation2018$500,000
Onyx Capital Advisors investor protection violation2014$9,100,000
Ontario Teachers' Pension Plan Board investor protection violation2013$224,835
OneStep Financial Services, LLC investor protection violation2022$631,179
Onele Trading & Finance Ltd. investor protection violation2011$5,729,276
One Touch Marketing, Inc. fraud2004$1,608,102
One Touch Marketing, Inc. investor protection violation2001$118,387
Omnia Wellness Inc. investor protection violation2023$60,000
Omgeo Matching Services US, LLC investor protection violation2019$2,000,000
Omega Protein CorporationCooke Inc.food productsinvestor protection violation2019$400,000
Omega Advisors, Inc.Omega Advisorsfinancial servicesinvestor protection violation2015$134,026
OM Investment Management accounting fraud or deficiencies2014$1,729,800
Olde Monmouth Stock Transfer Co., Inc. investor protection violation2017$126,183
Old Ironsides Energy, LLC investor protection violation2020$1,000,000
Office Depot, Inc.ODP Corporationretailinginvestor protection violation2010$1,000,000
OEP Capital Advisors, L.P. investor protection violation2023$4,000,000
Oechsle International Advisors L.L.C. investor protection violation2001$200,000
Ocwen Financial Corp.Ocwen Financialfinancial servicesaccounting fraud or deficiencies2016$2,000,000
Och-Ziff Capital Management GroupSculptor Capital Managementfinancial servicesForeign Corrupt Practices Act2016$199,045,167
Oaktree Capital Management, LLCBrookfield Corporationdiversifiedinvestor protection violation2005$345,701
Oaktree Capital Management, L.P.Brookfield Corporationdiversifiedinvestor protection violation2018$100,000
O.N. Investment Management Company investor protection violation2022$1,238,653
O'Connor & Company Securities, Inc. investor protection violation2017$150,000
O'Brien Greene & Co. Inc. investor protection violation2021$25,000
NW Capital Markets Inc. investor protection violation2015$100,000
NW Capital Markets Inc. investor protection violation2018$87,065
NW Capital Markets Inc. investor protection violation2018$87,065
NVIDIA CorporationNvidiaelectrical and electronic equipmentinvestor protection violation2022$5,500,000
Nuveen Securities LLCTIAAfinancial servicesinvestor protection violation2023$8,500,000
Nutrition Superstores.Com, Inc. and Advanced Wound Care, Inc. investor protection violation2003$10,500,000
Nu Skin Enterprises, Inc.Nu Skin Enterpriseshousehold and personal care productsinvestor protection violation2016$765,688
NPB Financial Group, LLC investor protection violation2020$1,050,188
NPA Asset Management, LLC investor protection violation2022$711,628
Novo Nordisk A/SNovo Holdings A/SpharmaceuticalsForeign Corrupt Practices Act2009$9,030,149
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2016$25,000,000
Novartis AGNovartispharmaceuticalsForeign Corrupt Practices Act2020$112,800,000
Norwest Investment Services, Inc.Wells Fargofinancial servicesinvestor protection violation2002$153,245
Northwestern Mutual Investment Services LLCNorthwestern Mutualfinancial servicesinvestor protection violation2024$16,500,000
Northwest Biotherapeutics, Inc. investor protection violation2019$250,000
Northwest Advisors, Inc. investor protection violation2021$245,000
Northland Securities, Inc. investor protection violation2015$220,000
Northern Trust Hedge Fund Services LLCNorthern Trustfinancial servicesinvestor protection violation2020$167,629
Northern Star Investment Corp. II investor protection violation2024$1,500,000
Northern Lights Compliance Services, LLC, et al. investor protection violation2013$50,000
Northeast Asset Management, LLC investor protection violation2019$150,982
North East Capital, LLC investor protection violation2013$346,132
North American Medical Products, Inc. investor protection violation2003$120,000
Nortel Networks Corporation accounting fraud or deficiencies2007$35,000,000
Nortek Inc.Madison IndustriesdiversifiedForeign Corrupt Practices Act2016$322,058
Nordion Inc. Foreign Corrupt Practices Act2016$375,000
Noonan Capital Management, LLC investor protection violation2013$104,825
Nomura Securities International, Inc.Nomurafinancial servicesinvestor protection violation2022$50,000,000
Nomura Securities International Inc.Nomurafinancial servicesinvestor protection violation2019$26,400,000
Noble CorporationNoble Corp.oilfield services and suppliesForeign Corrupt Practices Act2010$5,576,998
NissanNissanmotor vehiclesaccounting fraud or deficiencies2019$15,000,000
Nikola CorporationNikola Corporationmotor vehiclesinvestor protection violation2021$125,000,000
Nicor, Inc.Southern Companyutilities and power generationaccounting fraud or deficiencies2007$10,000,000
NIC Inc.Tyler Technologiesinformation technologyaccounting fraud or deficiencies2011$500,000
NGN Capital investor protection violation2017$100,000
Next Financial Group, Inc.Atria Wealth Solutionsfinancial servicesinvestor protection violation2019$1,405,349
Nexo Capital Inc. investor protection violation2023$22,500,000
Newman Ladd Capital Advisors, LLC investor protection violation2021$25,000
Newell Brands Inc.Newell Brandshousewares and home furnishingsaccounting fraud or deficiencies2023$12,500,000
New York Stock Exchange, Inc.IntercontinentalExchange Groupfinancial servicesinvestor protection violation2005$20,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2014$4,500,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2012$5,000,000
New York Stock ExchangeIntercontinentalExchange Groupfinancial servicesinvestor protection violation2018$14,000,000
New York REIT, Inc. and New York Recovery Advisors, LLC investor protection violation2017$165,000
New York Life Investment Management LLCNew York Life Insurancefinancial servicesinvestor protection violation2009$6,100,784
New Silk Route Advisors, L.P. investor protection violation2016$275,000
New Silk Route Advisors, L.P. investor protection violation2018$75,000
New Line Capital, LLC investor protection violation2015$25,000
New Futures Trading International Corporation investor protection violation2012$1,433,889
New England Securities Corp.MetLifefinancial servicesinvestor protection violation2006$2,614,865
New England Investment and Retirement Group, Inc. investor protection violation2012$200,000
New Concepts, L.L.C. investor protection violation2000$20,000
New Castle Funds LLC investor protection violation2010$293,064
New America High Income Fund, Inc. investor protection violation2012$413,399
Nevis Capital Management, LLC investor protection violation2004$1,700,000
NeuStar IncTransUnionmiscellaneous servicesinvestor protection violation2016$180,000
Neovest Inc. investor protection violation2021$2,750,000
Needham & Company, Inc. investor protection violation2004$700,000
Nebulous, Inc. investor protection violation2019$224,601
ND Money Management, Inc. investor protection violation2002$10,000
NBC Securities, Inc. investor protection violation2019$426,119
NB Alternatives Advisers LLC investor protection violation2018$2,733,608
Naya Ventures, LLC investor protection violation2020$40,000
Navistar International Corp.Volkswagenmotor vehiclesinvestor protection violation2016$7,500,000
Navigators International Management Co., Ltd. investor protection violation2011$45,000
Navian Capital Securities LLC investor protection violation2020$40,000
Navellier & Associates, Inc. investor protection violation2020$37,478,190
Nature's Sunshine Products Inc.Nature's Sunshine Productshousehold and personal care productsForeign Corrupt Practices Act2009$600,000
Natixis Securities Americas LLC investor protection violation2018$1,250,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.